Compliance Analyst - Investment Management

Recruiter
Ad Idem Consulting
Location
London, United Kingdom
Salary
£55,000
Posted
08 May 2022
Closes
07 Jun 2022
Ref
12579362
Job Function
Other
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Our client is a prestigious wealth manager looking to hire a Compliance Analyst. Our client's purpose is to provide independent advice to clients on all aspects of personal financial planning and investment management and they now have a vacancy to work alongside their Chief Compliance Officer. The role will provide the opportunity to learn about the application of legislation and regulation in a professional investment advisory business and to contribute to the company's strong investment offering and comprehensive client reporting by assisting in the provision of regulatory advice, training and monitoring.

What you will do

Assist the Chief Compliance Officer in exercising oversight responsibility for the firm's compliance monitoring programme.

• Report on compliance matters to the Chief Compliance Officer, and assist the Chief Compliance Officer in reporting on such matters to the Compliance Committee, the Senior Partner and the Policy Board, as appropriate.

• Assist the Chief Compliance Officer in ensuring co-ordination with other areas of the business including finance and human resources, for example, to ensure effective implementation of the compliance monitoring programme.

• Assist the Chief Compliance Officer in ensuring an understanding by outside audiences of the firm's commitment to compliance and integrity.

• Assist the chief compliance officer in ensuring that appropriate standards, practices, and internal controls, including a Code of Conduct, are adopted, published and explained to those affected.

• Assist the Chief Compliance Officer in ensuring that an effective system exists for communicating regulatory standards, requirements and guidance in all risk areas, including training and other communications media.

• Assist the Chief Compliance Officer in ensuring that each compliance risk area is identified and assessed periodically and appropriately addressed through the compliance monitoring programme.

• Participate, as appropriate, in committees and groups, to represent and advise on regulatory matters, as appropriate.

• Act as an advocate and champion of the compliance monitoring programme among all employees, consultants and third parties to whom tasks are outsourced and provide advice on compliance matters.

• Assist the Chief Compliance Officerr in ensuring that there is a system and procedures in place to prevent delegation of substantial discretionary authority to anyone who has engaged in illegal activities or other conduct inconsistent with the firm's Code of Conduct, through review of the promotion and recruiting systems for employees and other third parties (including consultants).

• Assist the Chief Compliance Officer in ensuring that there is a system in place for appropriate monitoring, auditing, and other measurements of:

• the compliance monitoring programme's effectiveness; and

• the firm's compliance with legislation and ethical standards.

• Assist the Chief Compliance Officer in ensuring that there is an effective system in place for employees to raise questions and obtain advice regarding compliance, and to report misconduct without fear of retaliation, and with appropriate follow-up.

• Assist the Chief Compliance Officer in ensuring that there is an effective and consistent system of discipline to address misconduct, and an appraisal and incentive system that promotes legal and ethical conduct.

• Assist the Chief Compliance Officer in ensuring that all findings of misconduct and of weaknesses in the firm's systems and controls are responded to promptly and effectively.

• Work diligently in monitoring current trends and developments within financial services and in the firm to identify emerging new risks.

• Assist the Chief Compliance Officer in ensuring that appropriate records of the compliance monitoring programme are generated and maintained.

• Keep current with compliance best practices and, along with the Chief Compliance Officer, represent the company in external compliance and ethics forums.

• Execute such other functions related to the compliance function as are delegated by the Chief Compliance Officer.

If you want more information, please contact Eloise Lacey on 02038387227 or eloise@adidemconsulting.co.uk

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