Compliance Specialist

Compliance Specialist urgently required for a leading city based Investment Management firm. The Compliance Specialist must have a strong Private Banking, Private Wealth Management, Asset Management or Investment Banking background.

Overview of Key Duties:

- Review of marketing materials from a compliance perspective
- Review and approval of staff dealing requests and any other transactions requiring Compliance pre-approval
- Undertake specified regular monitoring reviews (eg for AML purposes, investment restrictions) and occasional special reviews, including the identification and reporting of potential regulatory issues
- Assist in the collation of Management Information for TCF reports
- Assist in the provision of advice on day-to-day compliance questions, specified projects and development of internal policies and procedures
- Maintain compliance team records, including staff training, complaints, breaches and financial promotions
- To assist the review and process updates/amendments to internal policies and procedures
- To assist in responding to requests and review findings from Group Compliance and external or internal auditors on regulatory compliance matters
- To assist in the preparation of regulatory reporting and approved person applications to the FCA/PRA and other reports to Group Compliance
- To liaise as necessary with members of the Compliance teams in the Service Centre Private Banking, other entities in the Private Banking Division and Group Compliance.