Compliance Advisory - FTC - Maternity Cover

Investment People Limited
28 Nov 2016
06 Dec 2016
Contract Type
Full Time
Senior Compliance Advisory person sought by City based Wealth Manager for maternity cover. Minimum of around 5 years broad based compliance experience, to include advisory. Provide advice and support on all regulatory matters to the UK business including analysis and implementation of upcoming regulation. Supporting and deputising for the Head of UK Wealth Compliance Assume day to day responsibility for Central Compliance specifically: Deal with day to day regulatory queries from the front office and other business stakeholders Undertake and prepare analyses on areas of financial regulation as required by the business or Head of UK WM Compliance, including provision of detailed guidanceDeveloping and maintaining policy and procedures in respect of central compliance activities, including: o Approved Persons approvals and records; o Gifts and Entertainment reporting; o Marketing and Financial Promotion Approvals, inc Conflicts checking and disclosures; o Logging and monitoring insider events, approval of wall-crossings where required oReview and approve financial promotions. Provide training and support to other team members as appropriate to provide alternative cover. Keep up to date with developments in Wealth Management regulation and industry best practice o Reporting regulatory change to senior management and the business o Develop action plans to ensure continuing complance with applicable regulation Supervise and manage day to day central and advisory compliance activities undertaken by direct reportBuild and maintain constructive relationships with key business stakeholdersWork collaboratively with other compliance functions in the group to implement standardised policy and procedure as far as local rules allowRepresent UK WM Compliance on the Advice and Solutions GroupOn a judgemental basis, escalate any queries or areas of concern to the Head of UK Wealth ComplianceInvestigate and draft responses to complainants in connection with non-complex complaints (ie exc film partnerships and other tax-driven schemes)Advise on regulatory implications of new (and where required, existing) investment business- related contractsPrepare and submit regulatory notifications as required inc Gabriel returns, Standing Information updates, VOPs, overseas Approved Persons applications