- Ownership of the comprehensive scheme of compliance monitoring across the platform, in accordance with both regulatory and internal standards.
- Ownership of regular quality reviews across all areas of the business, including analysis, communication, resolution process and record retention.
- Conducting case reviews (AML, PEP, Fraud, Insider Dealing, etc.)
- Complete enhanced due diligence and monitoring processes, including risk assessments.
- Conducting activity reviews and identifying associated trends.
- First line escalation point for compliance queries (including AML referrals).
- Planning and ownership of projects and ad-hoc tasks as required by management.
- Attend meetings and compile minutes where required.
- Set-up and ongoing maintenance of Compliance rules.
- Identify and communicate system and procedure enhancements to management.
- Identifying trends to help facilitate service and training improvements.
- Assist in the update of compliance documentation.
- Assist with handling complaints.
- Liaise effectively with senior management.
- Good knowledge of FCA rules and their interpretation/application.
- Good knowledge retail investments, savings and pensions.
- Good knowledge of Data Protection requirements
- Ability to communicate with others confidently whilst remaining flexible/adaptable.
- Highly developed analytical, observational, written and verbal communication skills.
- Competent with Microsoft Office programs.
- Good experience within the financial services, preferably in an investment and/or platform-based environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements.
- Previous compliance experience, ideally in an analytical role is highly desirable
- CISI IOC qualification is highly desirable, if you do not possess this qualification you must be willing to work towards this
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