The Company JOB DETAILS
A small but growing HNW wealth and discretionary fund management company in Essex are recruiting a part time Compliance Officer to join the team.
You will oversee and manage all the compliance functions of the business, including FCA returns, AML, PI, TCF, T&C, Risk and Oversight, compliance reporting to the board, working with and reporting directly to one of the Directors who currently holds CF10/11. Ideally you would ultimately take on the controlled functions although this isn't essential. This includes both managing and updating the compliance procedures / manuals / reports as well as completing and keeping the records.
Additionally you will be responsible for Quality Control - as a business who prides itself on excellent standards of service, you will oversee and check all the reports, letters and advice for the WM clients, updating and maintaining templates and report systems, WM client procedures, and maintaining all the business registers. There will also be the portfolio management side to check and sign off each month as the portfolios are re-balanced.
This is a part time role (circa 20 hours spread across any day of the week), and requires someone with recent generalist compliance experience but a background in financial advice (either as an advisor or senior level paraplanner) as you need to be able to understand the complex reports they provide and help with queries compiling them, as well as being able to review, correct and approve. As a small company it is essential that you are able to work in a small team, be hands on and flexible in your approach.
The role will be office based in Essex.
An excellent opportunity to join a dynamic, forward thinking company who use the best technology and are growing fast, keeping customer service at the heart of everything they do.
Please quote CDP1612-92 when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc. across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.