My client is a leading City based Wealth Manager.A new position has arisen for an additional compliance professional to join the team. You will be responsible for
• Providing regulatory advice and guidance to the business
• Providing regulatory support to the funds management team
• Provide guidance on market abuse and Competition Act matters
• Undertake compliance monitoring tasks and ad hoc reviews and investigation
• Produce Compliance MI and reporting for senior management
• Analyse changes in regulationand assess the impact to the business
• Write and update compliance policies and procedures
• Review financial promotions and marketing material
• Analyse and respond on complaints according to DISP rules
• Update and monitor various registers and logs
• Carry out staff training and induction training
• Assist with the approved persons process The ideal candidate will have experience in a similar role and a compliance background either within Wealth Management, Asset Management or Stockbroking