Compliance Officer

What will you be doing?

We’re seeking a talented individual to join our Risk & Compliance team in London. Reporting to the Team Head, you will provide regulatory input to support delivery of good client outcomes, a compliant and risk aware culture and the Group's business model and strategy. This is a fantastic opportunity for someone looking to further develop their career in Risk & Compliance.

Responsibilities

• Assist in the completion of thematic reviews in accordance with the annual compliance monitoring programme, using appropriate tools and methodologies, and documenting the outcome accurately and in a timely fashion.
• Assist with the ongoing Second Line of Defence assessment of regulatory and conduct risks to ensure the assurance activity completed remains risk based.
• Provide advice on propositional developments, new business opportunities and regulatory change initiatives, ensuring a strong focus on good client outcomes at all times.
• Provide responses to general queries on the FCA Handbook and Evelyn Partners policies and procedures, escalating queries to the senior members of the Compliance team where assistance is required.
• Identify, investigate and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.
• Assist the Compliance department to maintain up-to-date departmental procedures and collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.

Qualifications

To be successful in this role, you should:

• Good knowledge and understanding of relevant regulatory requirements, including FSMA 2000, PRA and FCA rulebooks, LSE Rulebook and ISA Regulations.
• Experience of wealth management, suitable advice and good client outcomes preferred but not essential.
• Good interpersonal skills, judgement and decision-making ability, with a determined and proactive approach.

Desired:

• Educated to Degree level.
• Relevant regulatory qualifications an advantage.

Additional Information

As a colleague here at Evelyn Partners you will have access to benefits that include:

• Competitive salary.
• Private medical insurance.
• Life assurance.
• Pension contribution.
• Hybrid working model (role dependant).
• Generous holiday package.
• Option to purchase additional holiday.
• Shared parental leave.

We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and we’re delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment. We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.