Compliance Monitoring; - Wealth Management

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