Compliance Executive

Join a successful and award-winning boutique investment firm and make a real difference.

We seek a Compliance Executive to join the team at a small but successful investment firm. They have been recognised for their excellence in the industry, winning several awards for their investment strategies.

The ideal candidate will have:

• Previous experience in a compliance role, with a strong understanding of FCA and compliance regulations and requirements in the UK.
• Exceptional organisational and multitasking skills to manage multiple responsibilities and meet deadlines.
• Effective communication skills for collaboration with internal teams and external stakeholders.
• Team player with the ability to work both independently and collaboratively in a team-oriented environment.
• Professional demeanour, unwavering integrity, and a commitment to confidentiality.

In this role, you will:

• Support ongoing assessment and monitoring of business, operations, and investment risks, and assist in the development of policies and procedures.
• Conduct regular compliance monitoring and oversight, promptly reporting any identified compliance issues.
• Assist in reviewing and approving marketing materials in alignment with FCA Financial Promotion rules in the UK.
• Provide valuable regulatory support to projects and change initiatives, maintaining meticulous records of compliance activities.
• Collaborate with the SMF16 to implement robust systems and controls to ensure continuous compliance with regulatory requirements.
• Develop management reports and prepare vital information for the Board and key governance committees as required.
• Investigating and reviewing any firm breaches, and identifying necessary policy changes or training requirements to ensure ongoing compliance.
• Assisting in responding to due diligence questionnaires and information requests from third parties.
• Take a lead role in fostering an effective compliance culture within the organisation.
• Staying updated on industry developments, best practices, and regulatory changes in the UK. Actively seeking opportunities for knowledge enhancement through training and professional development.

This is a challenging and rewarding opportunity to make a real difference in a successful and award-winning boutique investment firm. If you are a compliance professional who is looking to make a meaningful impact, we would love to hear from you!

This opportunity is office based in Bath, Somerset.