Compliance - Compliance Officer, Monitoring - London, United Kingdom - Arbuthnot Latham

Arbuthnot Latham

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

***To support the strategy of the Compliance team to ensure that the firm meets its regulatory requirements.

To place the interests of customers at the centre of all activities, act in a way that is consistent with achieving good outcomes for consumers and to comply with the FCA and PRA's Conduct Rules

Key Responsibilities:

To carry out reviews, as allocated, in accordance with the Compliance Monitoring Programme, raising issues where appropriate and seeing those issues through to resolution using uploading/tracking process in Xactium.
To assist with complaints handling matters and the management of the complaints process, liaising with the business where appropriate.
To consider and implement training requirements based on the outcome of monitoring activities and as part of the wider Compliance training plan.
To assist in business and compliance projects, ensuring that all regulatory requirements are met.
Contribute to regular daily/weekly/monthly monitoring activity as required.
To assist with ensuring that advertising/marketing literature is properly reviewed to ensure that it complies with FCA rules.
To undertake day to day compliance tasks depending on the needs of the team.
To represent the team internally and the Bank at compliance related events and working groups, as and when requested, and providing feedback to the team and the wider business where appropriate.
To proactively engage with professional bodies and trade bodies in order to enhance the firm's knowledge base.
Responsible for managing risks inherent to the role by diligently observing internal policies and procedures.

Key interfaces:

Person Specification
***Knowledge/Experience/Skills:

Significant experience working within a generalist Compliance role, ideally within the wealth management sector.
Good / very good, practical understanding of FCA regulation and all other relevant regulations to the firm.
Understanding of how the regulatory environment applies to AL Group desirable.
Good verbal and written communication skills.

Qualifications:

***- Entry Level CISI Level 4 qualification or equivalent desirable.

Core Competencies: