Investment Compliance Officer/Advisor
Location | Home-based, United Kingdom |
Date Posted | 28/08/2020 |
Category |
Accountancy
|
Job Type |
Full-time
|
Description

INVESTMENT COMPLIANCE OFFICER / ADVISOR
WORK FROM HOME
We are working with an established and fast-growing firm who are looking for an experienced Investment Compliance Officer / Advisor with experience in Consumer Credit Lending and specifically submitting multiple applications to the FCA.
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
APPLY NOW: Interviews for this position are available immediately, so please apply ASAP to avoid disappointment.