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Job overview

Compliance Oversight Executive

Our client is an award-nominated investment manager based in the heart of Wigan. Due to continued growth and success, they are looking for a Compliance Oversight Executive to join the business on a permanent basis.

This is a rare and exciting opportunity to join the team at a boutique investments house.

The Compliance Oversight Executive will take responsibility for the following:

  • Provide guidance to the board and management re. the outsourced functions of the business are operating compliantly through ad hoc reporting and other MI
  • Work on projects, as allocated from time to time by the Compliance Manager.
  • Notifying the business of changes to applicable rules and regulations
  • Identify good and bad practice providing feedback on failures in controls, recommend actions for improvement where necessary
  • Production of compliance reports for Board submission
  • Dealing with regulated individual authorisations with FCA
  • Promoting awareness of compliance with anti-money laundering rules

The Compliance Oversight Executive will meet the following skillset:

  • Completed or working towards IOC (Investment Operations Certificate) or prepared to undertake this qualification on joining
  • Ability to use initiative and work unsupervised in a proactive manner
  • Willing to go "above and beyond" their job role in fitting with our client's company ethos
  • Previous compliances experience within investment management is essential

If you believe your experience meets the criteria, please apply with a copy of your CV.

Note, this is a highly competitive position. We receive a high volume of applications and are unable to respond to each CV.

Sellick Partnership is a market-leading professional services recruitment specialist operating across the UK. Over the years we have built up an enviable relationship with employers and our expert team of consultants boast up-to-date market knowledge and a strong reputation making Sellick Partnership best placed to help you. Sellick Partnership is proud to be an equal opportunities employer. Please note our advertisements use years' experience and salary levels purely as a guide. We are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role. For information on how your personal details may be used by Sellick Partnership, please review our data processing notice which can be found in the footer on our website.

Reference: 912982A_1555344624