Compliance Advisory - Investment Management and Wealth Advisory
  • England,London,City of London
  • full-time
  • Competitive salary
Job Description:
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.
Job number 1828702
metapel
Company Details:
eFinancial Careers
From simple beginnings in 1995, Talent has been on a journey to redefine the world of recruitment through creating the most empowering customer and ca...
The jobs on site are for both men and women