Compliance and Oversight Executive

About the Role:

As a Compliance and Oversight Executive, you will play a critical role in supporting our compliance function, ensuring that our business adheres to all relevant laws, regulations, professional standards, and best practices.

Key Responsibilities:

• Support the assessment and ongoing monitoring of business, operations, and investment risks.
• Conduct regular compliance monitoring and oversight, reporting any issues identified.
• Assist in the review and approval of literature in line with FCA Financial Promotion rules.
• Provide regulatory support for projects and change initiatives, maintaining thorough records of compliance activities.
• Prepare information for the Board and key governance committees.
• Assist with any investigation and review of firm breaches, identifying policy changes or training needs to ensure compliance.
• Assist in responding to due diligence questionnaires and information requests from third parties.
• Lead efforts to embed an effective compliance culture within the firm.
• Stay current with industry developments, best practices, and regulatory changes, proactively seeking opportunities for professional development.

Experience and Skills:

• Exceptional organisational and multitasking abilities to manage multiple tasks and meet deadlines.
• Effective communication skills to interact with internal teams and external stakeholders.
• Ability to work independently and collaboratively in a team-oriented environment.
• Professional demeanour, integrity, and a commitment to maintaining confidentiality.

Why Join Us?

This is an exciting opportunity to join a dynamic team within a reputable investment firm. We offer a supportive environment that fosters professional growth and development. We encourage you to apply if you are enthusiastic about compliance and looking to make a significant impact.