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Interim Compliance Officer
Eingestellt von Oliver James Associates
Gesuchte Skills: Client
Projektbeschreibung
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
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Einsatzort:
City, Vereinigtes Königreich
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Projektbeginn:
asap
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Projektdauer:
6 months
- Vertragsart:
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Berufserfahrung:
Keine Angabe
Geforderte Qualifikationen
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Kategorie:
IT Entwicklung