A wealth and Asset Management firm are looking for someone to join their compliance advisory team. This is tasked with dealing with a variety of different queries from the business. Around transactions, COB rules, G&E, Financial promotions, Financial crime, PA dealings ect
- Perform an advisory role supporting the business in discharging its regulatory obligations
- Act as a point of contact for regulatory enquiries from multiple business areas and providing time-sensitive advice and guidance
- Assist with the monitoring of the Compliance email inbox and provide compliance advice and guidance to the business, where necessary
- Keep abreast of current and upcoming regulatory developments and assisting in incorporating them into processes and procedures
- Respond to requests for advice from the front office, operations and other business areas and provide the appropriate level of support to either resolve or escalate the matter being referred
- Review and approve financial promotions
- Review and approve requests for personal account dealing
- Carry out identity verification checks on clients of different types for AML purposes
- Escalate any significant issues, weaknesses or outstanding action items to the Compliance Manager
- Prepare compliance reports and MI for other members of the Compliance Team and senior management
- Assist other members of the Compliance Team and undertake ad-hoc compliance related projects, as required
What experience are they looking for?
- Familiarity with the key FCA Sourcebooks (COB's particularly 2 and 6)
- Knowledge of the JMLSG Guidance Notes
- Knowledge of at least two of Financial Promotions, G&E, PA dealings, transaction approvals.