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Compliance Officer - Grimsby, United Kingdom - Accomplish Today Recruitment

Accomplish Today Recruitment

Verified Company

Grimsby, United Kingdom

1 month ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

This employer of choice offers employees continued career development and hybrid working.

Our clients division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance.

Compliance accomplishes these through the firm's enterprise-wide compliance risk management program.

Your Impact

The Compliance role is based in North Lincolnshire you will be required to provide product related compliance advice, project management, updating policies, monitoring, thematic compliance reviews, product/trade approvals and post trade surveillances.

Principal Responsibilities

Maintain/draft/update policies, procedures, desk manuals, supervisory manuals
Assist with Compliance related projects, and managing implementation
Conduct Forensic reviews program
Coordinate Supervisory Reporting to Desk Heads
Coordinate Desk Reviews
Conduct trading and suitability surveillance Additional Responsibilities
Providing review and signoff of marketing materials prepared for distribution to clients / prospects
Providing Compliance input in product design and approvals
Compliance representation in Divisional Committees, such as Order Execution Review Committee
Reviewing and approving client account and trade activity from a suitability perspective
Providing support for / responding to general compliancerelated queries
Impact analysis and implementation of regulatory changes affecting the Wealth Management business
Develop and deliver training for business personnel Experience/Skills
University degree and/or professional compliance / financial services qualification
1+ year compliance or other relevant financial services experience
Wealth management / product Compliance experience an advantage
Knowledge of EMEA regulatory environment
Any knowledge of international regulatory regimes an advantage
Product knowledge and trading strategies e.g. structured products, alternative investments, derivatives
Good interpersonal skills and effective written/oral communication skills
Strong analytical and problemsolving skills with the ability to exercise sound and balanced judgment
Attention to detail
Ability to handle multiple tasks and work under pressure