Interim Compliance Consultant Investment Managem

The role

An Interim Compliance Consultant is required to:

• Assist in monitoring and maintaining the effectiveness the Bank's Compliance Framework, promoting a strong compliance culture, and ensuring that regulatory and conduct risk is managed effectively
• Assist in the ongoing development, implementation and execution of a risk-based Compliance Monitoring Programme •
• Assist in developing, maintaining and communicating compliance policies, procedures, guidance, requirements and changes such that understanding and adherence are facilitated and promoted

The person

• University degree and / or relevant Compliance qualification
• In depth, expert knowledge of FCA handbook and in particular, the technical application of COBS & COLL
• Private Bankinga good understanding of advisory and discretionary investment fund management products and services
• At least five years in a similar role at a FCA and/or PRA regulated firm
• Experience dealing with portfolio managers and other investment staff including dealers on regulatory matters
• Good working knowledge of compliance projects and initiatives, including new regulations such as MiFID II
• Proven experience in monitoring and reporting of regulatory & conduct risk best practice
• Good understanding of front, middle and back office functions, processes, risks and controls
• Strong IT skills, use of financial planning software and risk profiling tools, portfolio management systems, Microsoft Office, etc.