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About the Role:
As a Compliance and Oversight Executive, you will play a critical role in supporting our compliance function, ensuring that our business adheres to all relevant laws, regulations, professional standards, and best practices.
Key Responsibilities:
- Support the assessment and ongoing monitoring of business, operations, and investment risks.
- Conduct regular compliance monitoring and oversight, reporting any issues identified.
- Assist in the review and approval of literature in line with FCA Financial Promotion rules.
- Provide regulatory support for projects and change initiatives, maintaining thorough records of compliance activities.
- Prepare information for the Board and key governance committees.
- Assist with any investigation and review of firm breaches, identifying policy changes or training needs to ensure compliance.
- Assist in responding to due diligence questionnaires and information requests from third parties.
- Lead efforts to embed an effective compliance culture within the firm.
- Stay current with industry developments, best practices, and regulatory changes, proactively seeking opportunities for professional development.
Experience and Skills:
- Exceptional organisational and multitasking abilities to manage multiple tasks and meet deadlines.
- Effective communication skills to interact with internal teams and external stakeholders.
- Ability to work independently and collaboratively in a team-oriented environment.
- Professional demeanour, integrity, and a commitment to maintaining confidentiality.
Why Join Us?
This is an exciting opportunity to join a dynamic team within a reputable investment firm. We offer a supportive environment that fosters professional growth and development. We encourage you to apply if you are enthusiastic about compliance and looking to make a significant impact.
