Are you a proactive Compliance Officer with Advisory experience within an investments’ environment?
Looking for an exciting challenge where you’re not only part of a critical function, but you can challenge stakeholders and advise on regulatory developments.
Our client, an Investments and Pension specialist, based in the heart of Leeds city centre, are currently hiring a brand new ‘Compliance Officer’ who will report to the Head of Compliance & MLRO.
Offering a competitive salary up to £60,000 (max) and 2 days wfh plus a generous wider benefits package, you will be a key player within the business and be responsible for…
- Horizon scanning, keeping on top of new FCA regulations, and maintaining regulatory developments.
- Advising on compliance issues, especially to the 1LoD and in respect of investment due diligence / best execution (COBS, SYSC &COLL).
- Support the preparation for governance meetings and board level committees.
- Liaising with stakeholders at all levels and engaging the business re Compliance.
- Assisting with regulatory reporting ensuring this is done on time, breach management and supporting with Audit related activities.
Ideally you will be or have:
- Strong proven experience, ideally around 5 years+, within a Compliance function previously within an Investment firm, Investment bank, Asset Manager or FS firm.
- Regulatory and Conduct experience, having previously been responsible for keeping on top of a changing regulatory landscape and advising the business.
- Exceptional stakeholder management skills, communication – being able to simplify / train employees outside of the regulatory function.
- Ideally you will also have exposure to financial crime related matters and AML.
If this sounds like the right next step for you or someone you could kindly recommend from your network, please reach out today.