Compliance Analyst - Asset Wealth Management

Company Name:
Randstad Sourceright
Compliance Analyst - Asset Wealth Management (AWM) Advisory Officer
Division: Compliance
Location: Birmingham
This role will focus on providing day-to-day Compliance support to the Asset Wealth Management (AWM) business groups in Birmingham and also, working closely with London AWM Compliance, providing support to the AWM businesses in London with a particular focus on client suitability assessments, marketing material reviews and the AWM Compliance Monitoring Programme.

Key Responsibilities:
Provide general day-to-day Compliance advisory support to the AWM business people based in Birmingham such as advising on conflicts, gifts and entertainments, personal trading and other conduct issues
Delivery of Compliance training to the AWM business people in Birmingham
Assist London AWM Compliance in supporting the AWM businesses based in London by working on a number of the following activities, which may vary from time to time depending on business need
Review and assessment of client suitability forms
Review AWM specific marketing material and client communications for compliance with Markets in Financial Instruments Directive (MiFID), other regulatory requirements and the bank?s policies and standards for communications and marketing material
Product appropriateness assessment of retail structured products/funds for their intended target market (including escalation of transactions and issues to senior managers where necessary)
Targeted due diligence on third party intermediaries selling AWM products
Assist in the completion of the AWM Compliance Monitoring Programme including carrying out Testing and Quality Assurance and reporting Results, identifying Remediation Items and ensuring that any Remediation Items are completed in a timely manner
Complaints handling assistance
Preparation and delivery of training sessions
Compliance assessments and control framework
Regulatory inspections and investigations
Respond to ad hoc regulatory enquiries
Compliance Monitoring & Investigation ("MSI") reviews of relevant business lines
General Compliance projects
You will have:
The ability to interpret, understand, advise upon and formulate an appropriate course of action on a broad range of legal and regulatory provisions
The ability to analyse legal, regulatory and reputational risk and where necessary escalate matters to the appropriate management level
Excellent verbal and written communication skills with attention to detail and an ability to grasp core issues quickly
A professional business attitude in the workplace, treating fellow employees with courtesy and respect.
The ability to handle and manage a number of different projects simultaneously
The ability to interact with and command respect from persons both internally and externally
The ability to adapt to change if necessary
A proactive approach to projects and responsibilities
High energy and enthusiasm levels and be hardworking, with the ability to focus on and resolve the ?right? issues in a timely fashion
You will be:
A graduate or equivalent with an interest or experience in asset management, wealth management and/or investment products and broader compliance and regulatory matters, ideally with a post graduate or professional qualification such as a qualified solicitor or accountant
Experienced and have knowledge of the financial markets and the current regulatory structure in Europe. Training and support will be provided although it will be essential for you to be a self-starter in gaining knowledge and experience

If you are interested in an opportunity to work within Compliance in a well-known company, but with a particular interest in Asset Wealth Management, please contact Charlotte Allen on .


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