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Compliance Officer

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Evelyn Partners

2mo ago

  • Job
    Full-time
    Junior, Mid & Senior Level
  • Legal
    Banking & Finance
  • London
  • Quick Apply

AI generated summary

  • You need knowledge of FSMA 2000, PRA, FCA, and LSE regulations, wealth management experience, strong decision-making skills, a degree, and relevant qualifications are a plus.
  • You will assist in compliance reviews, report drafting, issue tracking, regulatory advice, training development, breach reporting, and maintaining procedures while collaborating across the organization.

Requirements

  • Good knowledge and understanding of relevant regulatory requirements, including FSMA 2000, PRA and FCA rulebooks, LSE Rulebook and ISA Regulations
  • Experience of wealth management, suitable advice and good client outcomes preferred
  • Good inter-personal skills, judgement and decision-making ability, and a determined and proactive approach
  • Educated to Degree level
  • Relevant regulatory qualifications an advantage

Responsibilities

  • Assist in the completion of thematic reviews in accordance with the annual compliance monitoring programme, using appropriate tools and methodologies, and documenting the outcome accurately and in a timely fashion.
  • Assist with the drafting of high quality reports which outline the findings of assurance activity.
  • Assist with tracking the resolution of issues identified and action points agreed.
  • Assist with the completion of any ad hoc project work that may occur throughout the course of business.
  • Assist with the ongoing Second Line of Defence assessment of regulatory and conduct risks to ensure the assurance activity completed remains risk based.
  • Provide advice on propositional developments, new business opportunities and regulatory change initiatives, ensuring a strong focus on good client outcomes at all times.
  • Provide responses to general queries on the FCA Handbook and Evelyn Partners policies and procedures, escalating queries to the senior members of the Compliance team where assistance is required.
  • Support ad hoc regulatory projects as directed by Compliance line management.
  • Support the review of regulatory publications and assist with the drafting of briefing notes for business stakeholders.
  • Support the development of regulatory training materials.
  • Identify, investigate and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.
  • Assist the Compliance department to maintain up-to-date departmental procedures.
  • Collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.

FAQs

What is the primary purpose of the Compliance Officer role at Evelyn Partners?

The primary purpose of the Compliance Officer role is to provide regulatory input to support good client outcomes, maintain a compliant and risk-aware culture, and align with the Group’s business model and strategy.

What are the key responsibilities of the Compliance Officer?

Key responsibilities include compliance monitoring, providing advice on regulatory matters, identifying and reporting breaches and incidents, and assisting the Compliance department in maintaining up-to-date procedures.

What qualifications are required for the Compliance Officer position?

The ideal candidate should be educated to degree level, have good knowledge of relevant regulatory requirements, and relevant regulatory qualifications are considered an advantage.

What type of experience is preferred for this role?

Experience in wealth management, suitable advice, and delivering good client outcomes is preferred for the Compliance Officer position.

What skills are important for a Compliance Officer at Evelyn Partners?

Important skills include good interpersonal skills, strong judgement and decision-making abilities, and a proactive approach to tasks.

What benefits do Evelyn Partners offer to their employees?

Benefits include a competitive salary, private medical insurance, life assurance, pension contributions, a hybrid working model, generous holiday package, and options for additional holiday.

Is there a focus on diversity and inclusion at Evelyn Partners?

Yes, Evelyn Partners is committed to fostering a diverse workforce and has multiple diversity, equity, and inclusion initiatives in place to ensure a respectful and inclusive environment.

How does the company support new regulatory projects?

The Compliance Officer will support ad hoc regulatory projects as directed by Compliance line management.

Are there opportunities for professional development within the Compliance team?

Yes, there are regular training sessions and development opportunities to encourage best practice sharing and support career growth within the Compliance team.

How does Evelyn Partners ensure a supportive workplace culture?

The company fosters a supportive culture through small pastoral care teams, regular social events, and a focus on employee wellbeing within the work environment.

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Evelyn Partners

Placing the power of good advice into more hands

Finance
Industry
1001-5000
Employees
1836
Founded Year

Mission & Purpose

At Evelyn Partners (formerly Tilney Smith & Williamson), their longstanding commitment has been to provide sound advice, empowering individuals and businesses to thrive. With nearly two centuries of experience, their mission is to democratise access to quality advice, ensuring it's available to all, regardless of financial status. As the UK's premier integrated wealth management and professional services group, they cater to diverse client needs, from individual wealth management to comprehensive business services. Through a personalised approach and deep understanding, they aim to support clients in achieving their most meaningful goals.

Culture & Values

  • Personal: 'we treat you as an individual'

    We are a people business at heart, and strive to deliver a friendly, inclusive and personalised service to all our clients, large and small.

  • Partnership: 'we go further together'

    We develop relationships that stand the test of time, spanning multiple generations. We partner across the full breadth of our expertise to create value for our clients, our company and society at large.

  • Performance: 'we strive for more'

    We are ambitious for our clients and for ourselves, so we aim to be a forward-thinking and innovative business that leads the way in the industry.

Benefits

  • Holidays

    Competitive annual leave allowance and access to additional holidays.

  • Benefits

    Income protection, life assurance, a generous pension scheme and much more.

  • Wellbeing

    Private medical insurance, discounts at over 3,000 gyms, studios, fitness centres and sports clubs across the UK, plus access to our Employee Assistance Programme and Cycle to Work scheme.

  • Family

    In addition to offering paid maternity leave, we also offer paternity, adoption and shared parental leave schemes.