Wigan, Greater Manchester
£35000 - £40000 per annum
2 months ago
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.
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