Investment Compliance Officer/Advisor

at JobAdd
Location Home-based, United Kingdom
Date Posted 28/08/2020
Category Accountancy
Job Type Full-time




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.

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