Investment Management Compliance Officer

Mattioli Woods
16 Jul 2017
19 Jul 2017
Job role

Investment Management Compliance Officer

Location: Leicester or Newmarket
Salary: Competitive, DOE + Benefits
Contract: Full time, Permanent

Are you interested in working in a wealth management and employee benefits company? Are you a great communicator with experience of working within a compliance role? We are looking for a motivated individual to join our business in this exciting role.

A bit more about the role …

You are right for the role because you are able to …

  • Conduct audits and provide assurance that the Investment Division are complying with the FCA Sourcebook.
  • Give assurance that the Investment team`s processes and procedures are kept up to date.
  • Provide consultancy work along with other members of the Compliance team to assist the Investment Division to implement and incorporate FCA rules and regulations.
  • Escalate any sensitive issues to the appropriate level in the organisation.
  • Monitor and review the implementation of recommendations with the Investment Division.
  • Provide assurance reports to the Audit, Risk and Compliance Committee and any external parties.
  • Prepare management information and reporting data to relevant parties - both internally and externally.
  • Support the Investment Division with project work, staff training, procedural and administrative tasks.

Perhaps you also have …

  • Proactive, enthusiastic and driven approach.
  • Detailed regulatory knowledge, covering the Conduct of Business (COBS), Collective Investment Scheme (COLL) and Investment Funds (FUND) Sourcebooks.
  • Experience in monitoring and reviewing the provision of investment services, preferably in a compliance role.

Your package …

Competitive basic salary plus bonus.

A flexible benefits package with everything (it`s what we do) including:

  • Share incentive plan
  • Group pension
  • Life assurance
  • Income protection
  • Health cash plan

Don`t forget, it is flexible so that means you can pick benefits to suit you!

You will be working 34.5 hours per week, Monday to Friday

In addition you can expect …

  • Excellent career progression, with fantastic opportunities for promotion.
  • Training and support.
  • A great office environment.
  • The opportunity to take part in crazy charity fund raising events and other social activities.

If you have the required skills and experience, click on APPLY and forward your current CV and covering letter, with salary details, explaining why you are a good fit for this role.

No Agencies Please

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