Compliance Associate, Wealth - United Kingdom - in Newbury

Description

Bovill is a global financialservices regulatory consultancy with offices in London, Singapore,Hong Kong, and the Americas. We work with clients internationally onevery element of regulation. We help firms build projects to respondto significant regulatory change or give them peace of mind they'redoing the right thing.

Bovill is now part of Ocorian, theglobal provider of financial and corporate administration services andregulatory solutions. We havebined with Newgate, Ocorian's existingregulatory andpliance business, to offerprehensive regulatory supportto financial services organisations. We are now looking to expand,enhance and extend our services to our valued clients as part of thewider Ocorian group.

Our Wealth practice provides regulatoryadvice and support to firms involved in the distribution ofinvestments – mainly wealth managers/stockbrokers, financial plannersand private banks. The team is growing and is now looking for anexperiencedpliance associate to join them.

The idealcandidate will play a pivotal role in the practice, contributing toclient support, engaging in marketing and business developmentefforts, conducting technical research, generating technicalmaterials, and actively participating in the overall development andexpansion of Bovill.

This position is particularly suited toindividuals with a regulatorypliance background seeking a diverse rolewith a strong emphasis on client delivery.

The areas inwhich the Associate is expected to assist clients includes but is notlimited to:

• Assisting with advice and support on a varietyof regulatorypliance matters including producternance, suitability andappropriateness and preparing for regulatory change.
• Involvement in project work,pliance health checks and periodicmonitoring for clients
• Drafting and maintaining policies,procedures, andpliance monitoring programmes.
• Developingtraining materials and assisting in delivering training sessions.
• Assisting with regulatory matters including authorisationapplications, variations of permission and changes of control.
• Carrying outpliance health checks and periodic monitoring(including client file reviews)
• Arrange and help preparefor client meetings.
• Assist the team with marketing andbusiness development activities which may include preparing proposalsand draft engagement letters, writing articles for publication(website & social media) and preparing marketing materials.
• Responding to ad-hoc and routine regulatory queries.

The role also provides opportunities to attend relevant industryevents to expand your professional network and promote the Bovillbrand. Additionally, participation in and potential facilitation ofBovill events, roundtable discussions, and training sessions ontopical regulatory issues are encouraged.

Successfulcandidates should have:

• A degree-level education and/or arelevant, diploma level professional qualification (investmentorpliance-related), or willing to study towards
• Significantpliance related experience in the wealth management orfinancial planning sectors with a focus on the conduct issues faced byour clients in those sectors.
• Deep understanding of theFCA's rules and regulations.
• Experience translatingregulatory rules and guidance into meaningful, fit-for-purpose andpragmatic solutions for clients.
• A passion forproblem-solving and a keen interest in learning how to managerelationships with clients and the wider team.

Given thetechnical nature of the role, exceptionalmunication skills and highattention to detail are essential. There are also opportunities towiden your experience by assisting other teams and clients on abroader range of regulatory matters.

In return, we offer:

• The opportunity to work in an entrepreneurial, fast-paced,and stimulating environment.
• Support for careerdevelopment through mentoring, coaching, and relevant training
• The opportunity to work with friendly and collaborativecolleagues.
• Pension, private healthcare, and a generousflexible benefits package.

Bovill actively supportsflexible working and promotes a hybrid working practice.