Reporting to the Compliance Manager, COBS Compliance, to provide compliance advice and monitoring services to support the investment management and banking activities within the S&W group.
- Complete daily and monthly monitoring tasks in accordance with the IMB annual compliance monitoring programme, including File Reviews, using appropriate tools and methodologies and documenting the results accurately and in a timely fashion.
- Assist in the completion of thematic reviews in accordance with the IMB annual compliance monitoring programme.
- Assist with tracking the resolution of issues identified and action points agreed.
- Provide day-to-day assistance and advice on regulatory issues to line management and staff, ensuring an appropriate focus on good client outcomes at all times.
- Provide appropriate, consistent answers to general queries on policies and procedures, escalating queries to the Associate Director, COBS Compliance or the IMB Compliance Director as necessary.
Breaches and Incidents:
- Identify, investigate and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Breaches & Incidents database and following up their appropriate resolution.
- Assist the Associate Director, COBS Compliance to maintain up-to-date departmental procedures.
- Assist with such other general Compliance tasks as may be reasonably requested.
- Analytical Thinking – Analysing and breaking issues down to resolve them. Making systematic and rational judgements based on relevant information and experience.
- Communication – Conveying information clearly and concisely to groups or individuals either verbally or in writing to ensure they understand the information and message, presenting information suited to the characteristics and needs of the audience.
- Judgement – Making timely decisions that demonstrate considered judgement.
- Planning & Organising – Planning and organising in advance as far as possible. Managing ad hoc issues as they arise whilst meeting deadlines.
- Influencing – Exhibiting influencing skills. Having the ability to convince and persuade others.
- Technical Expertise – Ability to use relevant in-house systems. Good level of computer literacy.
Education and Qualifications:
- Educated to Degree level – desirable
- Relevant professional qualifications – desirable.
Experience and Skills:
- Good knowledge and understanding of relevant regulatory requirements, including FSMA 2000, the FCA rulebook and ISA Regulations.
- Experience of retail investment management (IFA, Stockbrokers, Investment Management, Banking).
- Experience of using Microsoft office applications e.g. excel, outlook etc…