- Assisting with advice and support on a variety of regulatory compliance matters including product governance, suitability and appropriateness and preparing for regulatory change.
- Involvement in project work, compliance health checks and periodic monitoring for clients
- Drafting and maintaining policies, procedures, and compliance monitoring programmes.
- Developing training materials and assisting in delivering training sessions.
- Assisting with regulatory matters including authorisation applications, variations of permission and changes of control.
- Carrying out compliance health checks and periodic monitoring (including client file reviews)
- Arrange and help prepare for client meetings.
- Assist the team with marketing and business development activities which may include preparing proposals and draft engagement letters, writing articles for publication (website & social media) and preparing marketing materials.
- Responding to ad-hoc and routine regulatory queries.
- Compliance experience gained at a financial institution, legal practice, consultancy and/or the regulatory background.
- A degree-level education and/or a relevant, diploma level professional qualification (investment or compliance-related), or willing to study towards
- Significant compliance related experience in the wealth management or financial planning sectors with a focus on the conduct issues faced by our clients in those sectors.
- Deep understanding of the FCA's rules and regulations.
- Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients.
- A passion for problem-solving and a keen interest in learning how to manage relationships with clients and the wider team.
- The opportunity to work in an entrepreneurial, fast-paced, and stimulating environment.
- Support for career development through mentoring, coaching, and relevant training
- The opportunity to work with friendly and collaborative colleagues.
- Pension, private healthcare, and a generous flexible benefits package.
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Compliance Associate, Wealth - London, United Kingdom - Bovill
Description
Bovill is a global financial services regulatory consultancy with offices in London, Singapore, Hong Kong, and the Americas. We work with clients internationally on every element of regulation. We help firms build projects to respond to significant regulatory change or give them peace of mind they're doing the right thing.
Bovill is now part of Ocorian, the global provider of financial and corporate administration services and regulatory solutions. We have combined with Newgate, Ocorian's existing regulatory and compliance business, to offer comprehensive regulatory support to financial services organisations. We are now looking to expand, enhance and extend our services to our valued clients as part of the wider Ocorian group.
Our Wealth practice provides regulatory advice and support to firms involved in the distribution of investments – mainly wealth managers/stockbrokers, financial planners and private banks. The team is growing and is now looking for an experienced compliance associate to join them.
The ideal candidate will play a pivotal role in the practice, contributing to client support, engaging in marketing and business development efforts, conducting technical research, generating technical materials, and actively participating in the overall development and expansion of Bovill.
This position is particularly suited to individuals with a regulatory compliance background seeking a diverse role with a strong emphasis on client delivery.
The areas in which the Associate is expected to assist clients includes but is not limited to:
The role also provides opportunities to attend relevant industry events to expand your professional network and promote the Bovill brand. Additionally, participation in and potential facilitation of Bovill events, roundtable discussions, and training sessions on topical regulatory issues are encouraged.
Successful candidates should have:
Given the technical nature of the role, exceptional communication skills and high attention to detail are essential. There are also opportunities to widen your experience by assisting other teams and clients on a broader range of regulatory matters.
In return, we offer:
Bovill actively supports flexible working and promotes a hybrid working practice.
A full job description can be requested by contacting
Compliance Associate, Wealth professionals in London
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Devanshu Marwal
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