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Investment Compliance Officer / Advisor

Employer
SimX Ltd
Location
London
Salary
Competitive
Closing date
18 Nov 2020

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Employer Sector
Banking & Finance - Retail
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance

We're looking for a candidate to this position in an exciting company.

  • Key Responsibilities:
  • Working with and consulting clients on a daily basis
  • Working as a senior member of the FCA Regulated Investment team
  • Liaising between clients and regulators Identifying opportunities with clients for additional product/service needs
  • Conducting external client audits
  • Drafting and submitting FCA applications, regulatory business plans etc
  • Adhering to FCA guidelines and recording information to company standards Identifying regulatory risks within businesses and providing remedial action
  • Work as part of a growing team Client call monitoring


  • Key Skills & Experience:
  • Experience working for or as part of an FCA
  • Regulated Investment firm is essential
  • Previously drafted and submitted multiple applications to the FCA
  • Excellent understanding of the FCA application process
  • Confident to draft Regulatory Business Plans

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