Compliance Officer

My client, an Investment Management Company based in the Midlands have been managing investments for over 30 years and now have an exciting opportunity for a person looking for a clear career progression path to a Senior Compliance Officer and eventually holding the Head of Compliance (CF10) responsibility.

Your responsibilities will involve:

• Monitoring of client reviews
• Internal audit tasks in line with the Compliance Monitoring Programme
• Maintaining key Compliance spreadsheets, registers and to complete general compliance administrative tasks
• Update and maintain Compliance procedures
• Undertaking compliance monitoring and assisting in the preparation of reports to management
• Assisting with monitoring and analysis of regulatory change and assessing the potential impact on the business

Skills they are looking for within candidates:

• excellent written and verbal communication skills
• The ability to problem solve and deal with complex queries.
• Strong analytical skills
• The ability to implement influence and persuasion to others
• Strong numeric skills
• Ability to use initiative and work unsupervised
• Attention to detail
• Ability to prioritise and manage multiple projects

Qualifications

As a minimum degree educated. Ideally the candidate will possess industry relevant qualifications, this is not compulsory as my client will offer appropriate exam training.

Experience

Desirable for the candidate to have previous experience in a similar compliance role with wealth or investment management experience.

If you are interested in this role then please contact me on:

Email: Jordan.white@markssattin.com

Tel: 0207 747 9667