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Business Quality Analyst/Compliance Officer
Exeter
£40,000 to £50,000 plus benefits
Our client is an expanding Investment Management firm, who are looking to recruit an experienced Business Quality Analyst/Compliance Officer to work within their established team, helping to ensure that they continue to meet regulatory requirements relating to investment advice, portfolio management, and record keeping. You will be required to use your excellent compliance analysis skills, conveying complex regulatory information, whilst delivering an outstanding investment service within regulatory requirements.
Duties will include:
- Investment Management file monitoring, which will include both pre and post-implementation checks.
- Review investment proposals, client risk profiles, and all necessary documentation to completeness, suitability and compliance.
- Assessing whether investment decisions are well documented, compliant and in line with business processes.
- Communicating review outcomes clearly and ensuring all records are accurately maintained within company systems.
- Providing support to Investment Managers, offering guidance on file review processes and record keeping standards.
- Monitoring investment portfolios to ensure they align with client objectives and risk profiles.
- Staying up-to-date with Consumer Duty requirements and ensuring all tasks are completed with a clear focus on positive client outcomes.
What you need:
- Extensive experience in Financial Services, particularly in product governance or compliance roles.
- In-depth knowledge of UK Financial regulations, with a focus on Consumer Duty, along with a strong understanding of investment products, portfolio construction, and risk management.
- A degree in Finance, Business, or a related field along with a professional qualification, such as CFA, CISI, or equivalent, but not essential.
For further information please send your CV directly to Stuart at Reward Recruitment or contact him directly on 0 7 7 4 7 7 8 2 9 3 4.
