Compliance Officer - London
We are working with a well-established wealth management firm looking to take on a Compliance Officer. Previous experience within the Financial Services industry is essential. Your main responsibilities will be to provide full administrative support to the company and Financial Advisers in order to ensure new business applications are effectively processed.
- Ensure the maintenance of a “single view of the truth” (Business Submission Register) in so far as data and information management is concerned
- Provide a comprehensive personal and confidential administrative service to all sales advisers
- Effective processing of client applications including suitability letters and continuation letters in a timely manner
- Compliant submission of New Business cases to Business Assurance.
- Adhere to procedures and systems which will ensure the efficient running of the Administration Team
- To prioritise work appropriately to meet competing demands
- Investigate and respond to adviser queries in a timely manner
- Maintain appropriate filing and record systems, including confidential documents and files to ensure immediate access when required
- Ensure all aspects of regulatory compliance are adhered to in regard to the company's procedures, external regulatory and statutory requirements such as procedures, health and safety etc.
- Assist with monitoring and reporting
- To create a personal development plan and present it to the New Business Manager
- Undertake and lead training on key business areas as required to new team members
- Undertake any other relevant tasks and duties as required by the company.
Personal attributes and Qualifications:
- Strong and effective communicator.
- Ability to work under pressure and meet deadlines.
- Solution and service orientated.
- Technology savvy and willing to embrace new systems and software.
- Good analytical and decision-making skills.
- Strong influencing skills.
- Discrete and professional in all communication.
- Strong emotional intelligence.
- Effective listener.
- Willingness to challenge in a constructive and non-confrontational manner.
- Organised multi-tasker and effective prioritisation.
- Adaptable and flexible.
- Self-motivated and willing to work at times in isolation and as part of a wider team.
If you are interested in applying for this position then please submit a copy of your CV to email@example.com
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