Back to search
Recruit Wealth are delighted to be representing, once again, our multi award winning investment management/DFM client who possess an enviable 20 year track record in managed portfolios.
They are able to offer a series of Active, Income, Enhanced Passive and Ethical Portfolios as well as its own Funds.
Excitingly, a newly created position for a Compliance Analyst is now available. The opportunity will report directly into the Compliance Director and will see you exert significant influence on the compliance and risk management programme.
You’ll play a critical part in ensuring that the company adheres to relevant laws, regulations, and internal policies.
Directly supporting the Compliance Director, key duties include the following:
- Design and update internal compliance policies and procedures.
- Assist in the implementation of the internal policies and procedures including the review of Financial Promotions.
- Monitor the activities and processes across key business functions (comprising a Multi-Asset OEIC, a Model Portfolio Service and a white-labelled platform) to ensure compliance with regulations and internal policies.
- Ensuring ongoing compliance with relevant rules and regulations through the monitoring of regulatory changes.
- Conduct regular internal audits to assess the effectiveness of the compliance program and Business Continuity Plan and identify areas for improvement.
- Identify and assess risks within these processes, developing and implementing risk mitigation strategies / monitoring where necessary.
- Contribute towards the construction of internal reporting across the monthly, quarterly, and annual governance framework.
- Provide compliance and risk advice and support to other teams within the business.
- Promote a compliance culture with a focus on delivering excellent outcomes for our investors.
As a competent compliance/investment professional, you’ll need to demonstrate the below experiences & exposures on interview:
- Minimum 5 years’ experience in a similar compliance role within the same industry
- Industry qualifications, CISI etc
- Experience of MPS, Funds and ideally a financial adviser client base.
- South East based/commutable to London for internal meetings
Benefits of joining the business
- 28 days holiday plus Bank Holidays
- Death in Service
- Private Medical Insurance
- Group Income Protection
- Employee Assistance Program
- Medicash
- Private Pension
- Discretionary annual bonus, up to 10%
- Progression
- Full support for further professional qualifications, CPD etc
This opportunity is home based.
A highly attractive package alongside comprehensive company benefits are available whilst being recognised as a key member to the team and it’s future success.
There has never been a better time to join our DFM client, this is a stand out opportunity.
The business is looking to interview as soon as possible, we look forward to receiving your application to discuss further.
