Our client is seeking a Compliance Officer to work closely with the Head of Client Compliance in delivering a robust compliance framework for a portfolio of regulated client entities.
The core duties of the role will include:
- Working closely with the client compliance and manager’s compliance teams, as well as the client boards and the manager / wider business to ensure effective compliance services are provided to clients
- Contributing to the preparation and maintenance of the client boards’ business risk assessments
- Undertaking both planning and execution of the clients’ Compliance Monitoring Programmes and managing the findings and action points arising therefrom through to resolution
- Managing client correspondence with the regulator, including in respect of consent and notification matters
- Preparing / reviewing / presenting compliance reports for clients
- Providing support and guidance to clients / client boards on applicable regulatory and AML matters
For more information, please contact Jamie on 707812 or email your CV to jobs@excel-recruitment.com