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Interim Compliance Officer

Eingestellt von Oliver James Associates

Gesuchte Skills: Client

Projektbeschreibung

The aim of this role is to conduct a focussed Compliance-based monitoring programme, covering Private Client Investment Management and associated services, and to provide sound regulatory advice to those delivering customer-focussed investment services.

QUALIFICATIONS REQUIRED:

- Relevant investment and/or compliance industry qualification essential (CISI or similar)
- Must be able to communicate to a high level both orally and in writing.

BACKGROUND AND EXPERIENCE NECESSARY:

- Demonstrable UK experience in monitoring and reviewing Private Client investment management services in a Private Bank, Asset Manager, or similar organisation, preferably in a Compliance role.
- Detailed regulatory knowledge required, covering Conduct of Business (COBS) and Client Assets (CASS) sourcebooks as a minimum.
- Knowledge of other FSA sourcebooks an advantage.
- Ability to analyse and communicate regulatory change to business areas.

PRINCIPAL DUTIES AND RESPONSIBILITIES:

- To review and assess the quality and standards of the Wealth Management department, including Private Client suitability reviews, Investment Research, Dealing, Execution and Custody operations.
- To aid the Deputy Compliance Manager in reviewing, analysing, and providing policy advice to the Wealth Management business on new regulatory requirements, as directed.
- To monitor and review the implementation of recommendations agreed with the business.
- Complete required internal and regulatory returns in agreed time frames.

Projektdetails

  • Vertragsart:

    Contract

  • Berufserfahrung:

    Keine Angabe

Geforderte Qualifikationen

  • Kategorie:

    IT Entwicklung

  • Skills:

    client

Oliver James Associates