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Investment Compliance Specialist

  • Guildford
  • Permanent
  • £45,000 - £55,000 + bonus and excellent company benefits

Job details.

Our highly regarded client is a leading financial services company that provides comprehensive solutions to high-net-worth individuals, families, and institutions. With a team of experienced professionals and a commitment to delivering exceptional client service, our client is dedicated to helping clients achieve their financial goals.

Their current requirement is for an experienced Investment Compliance Specialist to join their growing team in Guildford. This is an exciting opportunity to work with a dynamic and talented team of professionals, offering up to three days of hybrid working, allowing you to balance working from home and in the office.

The Role:

As an Investment Compliance Specialist, you will be responsible for carrying out suitability reviews for the company's high-net-worth clients. You will ensure that the reviews are conducted accurately, efficiently, and in line with regulatory requirements and the clients high standards. You will work closely with the Risk & Compliance Manager and the wider team to ensure that all reviews are completed on time and to a high standard.

Responsibilities:

  • Carry out suitability reviews for high-net-worth clients in line with regulatory requirements and the clients high standards.
  • Execute the review analysis of Annual Suitability Reviews undertaken by Practitioners within the Investment Management business relating to advisory and discretionary managed business.
  • Execute general File Reviews to identify weaknesses, anomalies, errors and missing data and documents – reconciling this against internal processes and feeding back to Practitioners and tracking remediation through to completion. File reviews may include those for Execution Only related business.
  • Produce high quality MI, challenge the data within it and actively seek efficiencies in its production.
  • Ensure that reviews are conducted accurately and efficiently.
  • Identify any issues or concerns and report them to the Risk & Compliance Manager.

Requirements:

  • Proven experience in a similar role, conducting suitability reviews in the financial services industry.
  • Strong knowledge of regulatory requirements and industry best practices.
  • Excellent communication and interpersonal skills.
  • Strong analytical and problem-solving skills.
  • Good attention to detail.
  • Ability to work well under pressure and meet tight deadlines.
  • Relevant qualifications such as the CISI Level 4 Certificate in Investment Advice or equivalent.

Package & Benefits:

  • Competitive salary up to £55,000 plus bonus and benefits.
  • Up to three days of hybrid working, allowing you to balance working from home and in the office.
  • Opportunities for career progression.
  • Work with a dynamic and talented team of professionals.
  • A collaborative and supportive work environment.

Sector:

  1. Financial Services
  2. Financial Planning
  3. Asset & Investment Management

Thomas Williams

Director - Financial Services

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