The Company:
Our client is a boutique wealth management company, highly recognised with a fantastic reputation.
The Role:
The Compliance Analyst will be a member of the Compliance team reporting to the Senior Compliance Officer. This role will sit within the Regulatory Compliance team and is responsible for regulatory developments, cross border and fund compliance. This role will work with senior stakeholders to influence policies, systems, and controls across the regulatory landscape.
The Compliance Analyst will also involve some involvement in and assisting with compliance monitoring and testing as part of the Firm’s Compliance Monitoring Plan.
The Compliance Analyst identify new regulation and regulatory changes which will impact the Investment Management Company, drafting and delivering regulatory communications to stakeholders across the organisation.
The Compliance Analyst will assist with the implementation of any regulatory developments which impact the Compliance department and wider Wealth Management business. Develop and maintain ongoing management information for the Management Board.
The Compliance Analyst will support projects ensuring compliance with regulatory and legislative requirements.
The Candidate
2-3 years of Compliance Regulatory work specifically within Wealth Management, Investment Management or a Private Banking business.
A strong knowledge of investment offerings and investment products (funds).
Practical experience of FCA rules particularly COBS is essential.
Experience in interpreting and understanding regulations and regulatory communications.
Industry or professional Compliance qualification desirable.