Compliance Monitoring; - Wealth Management
TOTT1184
T0 £50,000
Full Time
Greater London
London
31-01-2024 05:18 PM
Compliance Monitoring
Main tasks:
- Assist with the ongoing update to Compliance policies and procedures.
- Maintenance of the Compliance monitoring action log
- Contribute to the development of the annual compliance monitoring plan.
- Undertake compliance monitoring tasks, ensuring that any actions arising are appropriately agreed with business colleagues, logged and followed up.
- Assist Compliance manager with Regulatory horizon scanning.
- Analysis of FCA regulatory developments to understand the impact on the firm.
- Assist with new starter inductions and general compliance training
- Work with colleagues in the Compliance advisory team and the financial crime manager as required.
- Ad-hoc support to Compliance Manager and Head of Compliance as required.
- Help to provide Compliance input to company projects and initiatives as required.
General Compliance
- Assist in various aspects of either Department’s administration, providing cover and support to other members of the Compliance team when necessary.
- Support colleagues across the business with Compliance related queries.
Special Projects
- Carry out and assist with special projects as required
General
- Carry out and assist with other tasks required in the department as required.
Compliance
- Work within the regulatory and the Firm’s compliance framework
- Maintain own professional competence through training and course work
Fergus Hooley
DIRECTOR - COMPLIANCE
07425 325267