Our client is one of the UK’s leading wealth managers. They offer a range of bespoke services to their clients which consist of both individuals and organisations.
THE RESPONSIBILITIES:
Conduct monitoring in relation to Front Office activities using a combination of regular and exception-based monitoring.
Liaise with Certified Persons and their support staff in Client Facing Teams to remediate issues identified.
Analysis of key business metrics to inform risk identification and escalation.
Production and analysis of Management Information.
Report to key stakeholders and governance forums.
Review and testing effectiveness of existing controls.
Review and recommendation of policy and procedures enhancements.
Conduct thematic review work informed by wider findings or concerns raised within the business
Liaise and assist, as required, with other Business functions, including, Risk and Compliance, Business Support and Internal Audit in all matters pertaining to monitoring and Investment Governance work.
EXPERIENCE REQUIRED:
Diploma in Investment Advice / Compliance; Level 4 Diploma (Financial Planning) or equivalent.
Demonstrable experience of compliance monitoring and investment management.
Proficient MS Excel and PowerPoint skills.
Compliance or Risk background preferable
Analytical and problem-solving skills.
Excellent written, oral communication and presentation skills.
A flexible approach and the ability to work with others in a dynamic environment is key to enjoying the role.
Exceptional organisational skills, ability to work independently and manage workload to meet deadlines.
For further information please contact Eleanor Gowling
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