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    • Investment Management Compliance Business Partner - City of London - Evelyn Partners

    Evelyn Partners
    Evelyn Partners City of London

    2 months ago

    Full time
    Description

    Company Description

    Evelyn Partners is a UK leader in wealth management, providing personalised, expert investment management and financial planning advice to support clients in embracing what's next. Our success hinges on our people and that's our secret for longevity. We are a team of passionate professionals and everything we do is guided by our purpose – placing the power of good advice into more hands, we go further to understand the needs of our clients and what matters most to them. We're here to help them make significant decisions with confidence, provide strong foundations for the future and guide them towards their goals.

    Job Description

    What will you be doing? 

    We're seeking a talented individual to join our team in London. Reporting to the Head of IM, AM & General Advisory, you will provide high quality compliance advice and training to the Investment Management leadership team to support the delivery of good client outcomes, a compliant and risk aware culture, and the strategy.

    You will work collaboratively with other members of Advisory, including but not limited to the Head of FP & Marketing Advisory, undertake special regulatory projects as directed by the Compliance Director or Head of IM, AM & General Advisory and support the delivery of the following activities: conflict checks, Disclosure & Transparency Rules disclosure obligations, Takeover Code disclosure obligations.

    As Investment Management Compliance Business Partner, your responsibilities will include among others: 

    • Assist with the maintenance of an up-to-date compliance manual, documenting all relevant policies designed to address relevant regulatory risks.
    • Provide compliance expertise and advice to the Investment Management business unit on strategic decisions, propositional developments and material new business initiatives always ensuring an appropriate focus on good client outcomes.
    • Provide advice to line management and business stakeholders on how regulatory change initiatives will impact on the business model and strategy for the Investment Management business unit.
    • Lead the production of regulatory training materials and provide compliance training to line management and business stakeholders on current or proposed regulation.
    • 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.
    • Represent Compliance at governance forums including but not limited to IOC, DWG and 3LoD Forum.

    Qualifications

    To be successful in this role, you should:

    • Demonstrable experience in investment management within a wealth management firm 
    • Substantial experience in compliance 
    • Excellent understanding of relevant regulatory requirements in the UK, including FSMA 2000 and the FCA Handbook, LSE rules and the ISA Regulations
    • Strong oral and written communication skills
    • Strong inter-personal skills, judgement and decision-making ability, and a determined and proactive approach

    Desired:

    • Preferably degree educated
    • Relevant industry qualifications would be 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 we're 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.

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