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Client
My client is one of the UK's largest private client investment managers that offers a comprehensive range of investment management services on both a Discretionary and Advisory basis.  They have a huge footprint in the UK and are growing at a dynamic rate.

Role
To assist the Compliance Manager in monitoring the Retail Dealers using a risk based approach, assisting with the implementation of approved policy and procedures in line with FSA requirements and Group objectives. The position will mainly be office based with some branch visits as required

Key Responsibilities include
 
Liaise with Retail Dealers, providing them with guidance on procedures, interpretation of regulations and company policy.  Responding promptly to enquiries and ensuring they are dealt with effectively;
 
To assist with the development and implementation of the monitoring programme for the Retail Dealers, including the reporting of significant issues to Senior Management and ensuring standard team procedures are adhered to, in conjunction with the existing compliance monitoring programme;
 
Identify and analyse any potential risks to the firm following high level reviews of the Group Dealing function and report findings to the Compliance Manager and Senior Management;
 
Assisting the Regional team by providing valuable resource during branch visits and individual review meetings.
 
Carrying out desk based monitoring functions within the Regional team to identify trends and potential risks to the business;
 
Maintaining knowledge on regulatory issues, new legislation, company policies and products as appropriate.
 
Orderly maintenance of records and files.


The Candidate
Successful candidates must have at least two years experience in financial services, in a compliance role or alternatively have been a practitioner in the field i.e. retail dealer.
The candidate must be energetic and prepared to work in a dynamic environment and be willing to study for professional qualifications, which will be paid for and supported by senior management.








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