Compliance Officer
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Job Summary
What will you be doing
Were seeking a talented individual to join our Risk & Compliance team in London. Reporting to the Team Head you will provide regulatory input to support delivery of good client outcomes a compliant and risk aware culture and the Groups business model and strategy.
This is a fantastic opportunity for someone looking to further develop their career in Risk & Compliance.
As Compliance Officer your responsibilities will include among others:
- Assist in the completion of thematic reviews in accordance with the annual compliance monitoring programme using appropriate tools and methodologies and documenting the outcome accurately and in a timely fashion.
- Assist with the ongoing Second Line of Defence assessment of regulatory and conduct risks to ensure the assurance activity completed remains risk based.
- Provide advice on propositional developments new business opportunities and regulatory change initiatives ensuring a strong focus on good client outcomes at all times.
- Provide responses to general queries on the FCA Handbook and Evelyn Partners policies and procedures escalating queries to the senior members of the Compliance team where assistance is required.
- Identify investigate and report on breaches and incidents ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.
- Assist the Compliance department to maintain up-to-date departmental procedures and collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.
Qualifications :
To be successful in this role you should:
- Good knowledge and understanding of relevant regulatory requirements including FSMA 2000 PRA and FCA rulebooks LSE Rulebook and ISA Regulations
- Experience of wealth management suitable advice and good client outcomes preferred but not essential
- Good interpersonal skills judgement and decision-making ability with a determined and proactive approach
Desired:
- Educated to Degree level
- Relevant regulatory qualifications an advantage
Additional Information :
As a colleague here at Evelyn Partners you will have access to benefits that include:
- Competitive salary
- Private medical insurance
- Life assurance
- Pension contribution
- Hybrid working model (role dependant)
- Generous holiday package
- Option to purchase additional holiday
- Shared parental leave
We are proud to value the differences that a diverse workforce brings representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and were delivering multiple diversity equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues regardless of identity background or circumstance feel respected as individuals and feel that they can achieve their full potential and work in a safe supportive and inclusive environment.
We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.
Remote Work :
No
Employment Type :
Full-time
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Evelyn Partners is the UKs leading integrated wealth management and professional services group, with over 186 years of experience in helping generations of people and businesses to thrive. We offer an extensive range of financial and professional services to individuals, family trus ... View more
