Compliance Advisory - Investment Management and Wealth Advisory

Required skills and knowledge: 

•    A well-developed understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses.

•    An understanding of the FCA rules in relation to ESG, Principles for Responsible Investment, TCFD, Stewardship Code and SRD II.

•    Experience of portfolio management systems such as Objectway, BITA Risk and ESG monitoring such as Sustainalytics, Ethical Screening and Clarity AI would be advantageous. 

•    A good understanding of the FCA rules in relation to suitability. 

•    The ability to interpret rules and regulations and to clearly and succinctly articulate their application in the context of the firm's business.

•    Ability to multi-task and deal with a number of concurrent issues.

•    Confident in ability to present and represent Compliance as required.