Hays Specialist Recruitment posted a job you might be interested in November 20, 2014 at 07:45PM

Hays Specialist Recruitment



Investment Compliance Professional

London, United Kingdom, GB - Banking

A leading Private Banking Group is looking for a Investment Compliance Professional, which will be responsible for assisting the Investment Controls team with undertaking a variety of review and monitoring activities, ensuring a robust suitability framework. The role would be reporting to the Head Of Investment Controls.



Responsibilities Will Include…



· Perform detailed reviews of client files to ensure regulatory standards are being observed.

· Review of trade activity to ensure proper documentation of advice, and overall suitability of trades.

· Preparation of reports including identification of trends and key risks.

· Build relationships with key stakeholders.



The ideal candidate will have a good knowledge of the FCA suitability rules and a good knowledge of wealth management services and products. The ability to work effectively in a team and communicate with stakeholders is also desired.



Should you feel that you possess the personal and professional attributes required, please do not hesitate to apply.

Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk

£300.00 - £350.00 per annum



Posted November 20, 2014 at 07:45PM from LinkedIn http://ift.tt/14S9y6Z

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