Compliance Consultant - Wealth Management
- Recruiter
- Eximius Finance
- Location
- London, United Kingdom
- Salary
- £600 p/day
- Posted
- 23 Jul 2022
- Closes
- 22 Aug 2022
- Ref
- 14680169
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
Responsibilities
Consumer Duty and Conduct Risk:
SMCR/Accountability:
Skills and attributes:
Consumer Duty and Conduct Risk:
- Design and implement a framework for identifying and mitigating conduct risk
- Assess and update policies and procedures considering new Consumer Duty Principle
- Contribute to Consumer Duty Working Group
SMCR/Accountability:
- Review and provide gap-analysis on the firm's Certification process
- Design and implement a Reasonable Steps framework
Skills and attributes:
- Regulatory Compliance background, with detailed understanding of UK regulatory environment, particularly in relation to Consumer Duty
- Direct experience of shaping, implementing or executing effective Conduct Risk frameworks
- Exhibit strong communication and interpersonal skills and be comfortable interacting with personnel at all levels of seniority throughout the business