Investment Compliance Officer / Advisor
- Recruiter
- SimX Ltd
- Location
- London
- Salary
- Competitive
- Closing date
- 18 Nov 2020
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- Employer Sector
- Banking & Finance - Retail
- Contract Type
- Permanent
- Hours
- Full Time
- Travel
- None
- Job Type
- Compliance, Compliance & Regulation
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We're looking for a candidate to this position in an exciting company.
- Key Responsibilities:
- Working with and consulting clients on a daily basis
- Working as a senior member of the FCA Regulated Investment team
- Liaising between clients and regulators Identifying opportunities with clients for additional product/service needs
- Conducting external client audits
- Drafting and submitting FCA applications, regulatory business plans etc
- Adhering to FCA guidelines and recording information to company standards Identifying regulatory risks within businesses and providing remedial action
- Work as part of a growing team Client call monitoring
- Key Skills & Experience:
- Experience working for or as part of an FCA
- Regulated Investment firm is essential
- Previously drafted and submitted multiple applications to the FCA
- Excellent understanding of the FCA application process
- Confident to draft Regulatory Business Plans
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