Compliance Associate - London, United Kingdom - Charles Stanley

Charles Stanley

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Job Purpose:

To support the Head of Advisory & Complaints with providing advice and guidance to the business, and in ensuring that client complaints are handled promptly and properly.

Key Areas of Responsibility:

Provide advice and support to the business regarding compliance with regulatory requirements and the firm's Compliance Policies and Procedures.
To build and maintain working relationships with other business areas in order to promote a strong compliance culture.
Support the handling of client complaints for the firm, ensuring adherence to the documented Complaints Handling framework.
Produce Management Information for governance committees, senior management and Board.
Provide support to the other Compliance teams, such as Monitoring & Testing, Financial Crime and Regulatory Developments & Strategy as required.
To undertake adhoc projects as required.
Provide support on Compliance projects, working as part of a team and leading work streams.
To assist in the implementation of Compliance policy and establishment of adequate inhouse controls and Compliance procedures, including the design of training material and the delivery of such training to the wider business.
To assist management in ensuring that the Group conducts itself in accordance with FCA regulatory compliance, the Conduct Risk framework, the Consumer Duty and industry best practice.
Ensure accurate team records are maintained in accordance with regulatory requirements and good practice.

Qualifications and Experience:

Relevant experience in a UK Wealth Management, Investment Management or Private Banking environment.
Knowledge of UK Regulatory environment and FCA handbook.
Good product and investment management services knowledge, including investment suitability.
Previous Complaints handling experience would be an advantage.
Professional qualifications such as CISI Diploma in Investment Compliance would be desirable.

Knowledge and Skills:

Working knowledge of UK regulations including COBS, TC, COCON, SYSC, SUP, PROD, DTR, DISP, Consumer Duty and Conduct Risk.
Understanding of financial markets, products and wealth management.
Handles tasks with thoroughness and accuracy.
Communicates clearly and listens effectively.
Written communication is concise and accurate, using appropriate grammar, style and language.
Effectively balances priorities to meet agreed deadlines for individual and teamwork.
Demonstrates flexibility to adapt to changing business needs.
Ensures individual and team actions build excellent business practices and is accountable for results. Recognises and rewards inventive initiatives for businessdriven results.
Technical knowledge appropriate to the role, including relevant systems and processes, and keeps this knowledge uptodate.
Holds self and others to the highest standards or professional and technical excellence.
Flexibility to work unusual hours and to travel around the branch network when required.
Ability to foster a strong compliance culture and holds self and others to the highest standards of professional conduct.