THE COMPANY:
Our client is a boutique investment firm, offering services including wealth management and planning along with corporate advisory/ broking activities. THE RESPONSIBILITIES: Develops, initiates, maintains, and revises policies and procedures for the compliance function of the firm. Draft an annual compliance monitoring plan and undertake the agreed activities and reporting. Actively engages in the day-to-day operations to ensure comprehensive oversight of the compliance framework, embodying a hands-on, roll-up-your-sleeves ethos. Ensures effective internal controls and management information systems are in place. Works with HR to ensure the firm’s overall compliance with SMCR. Provides guidance and support to other departments to ensure they understand and adhere to regulatory requirements and industry best practices. Responsible for regulatory reporting. Ensures appropriate management information and reports are provided to the committees and boards. Assists in embedding a strong compliance culture throughout the organisation. Acts as an independent review and evaluation body to ensure that compliance breaches/issues/concerns within the organisation are being appropriately evaluated, investigated, and resolved. Develops and delivers compliance training and awareness programmes for staff. Acts as a key liaison with regulatory bodies. Manages the compliance team ensuring appropriate development of their skills. Works closely with the SMF17 to ensure no gaps in the systems and controls to combat financial crime. Responsible for the group’s market abuse controls. EXPERIENCE REQUIRED: SMF 16 responsibility experience or extensive experience as a deputy compliance officer in a retail/wealth management environment. Experience in actively managing a small team, providing mentoring and guidance to enhance the compliance function’s performance and capabilities. Open and transparent with excellent communication and interpersonal skills.
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Our client is a boutique investment firm, offering services including wealth management and planning along with corporate advisory/ broking activities. THE RESPONSIBILITIES: Develops, initiates, maintains, and revises policies and procedures for the compliance function of the firm. Draft an annual compliance monitoring plan and undertake the agreed activities and reporting. Actively engages in the day-to-day operations to ensure comprehensive oversight of the compliance framework, embodying a hands-on, roll-up-your-sleeves ethos. Ensures effective internal controls and management information systems are in place. Works with HR to ensure the firm’s overall compliance with SMCR. Provides guidance and support to other departments to ensure they understand and adhere to regulatory requirements and industry best practices. Responsible for regulatory reporting. Ensures appropriate management information and reports are provided to the committees and boards. Assists in embedding a strong compliance culture throughout the organisation. Acts as an independent review and evaluation body to ensure that compliance breaches/issues/concerns within the organisation are being appropriately evaluated, investigated, and resolved. Develops and delivers compliance training and awareness programmes for staff. Acts as a key liaison with regulatory bodies. Manages the compliance team ensuring appropriate development of their skills. Works closely with the SMF17 to ensure no gaps in the systems and controls to combat financial crime. Responsible for the group’s market abuse controls. EXPERIENCE REQUIRED: SMF 16 responsibility experience or extensive experience as a deputy compliance officer in a retail/wealth management environment. Experience in actively managing a small team, providing mentoring and guidance to enhance the compliance function’s performance and capabilities. Open and transparent with excellent communication and interpersonal skills.
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