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:
  • 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

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