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Compliance Officer

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Evelyn Partners

3d ago

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

AI generated summary

  • You should have regulatory knowledge (FSMA, PRA, FCA), wealth management experience, strong interpersonal skills, a degree, and a client-first mindset with excellent service delivery and teamwork ability.
  • You will assist in compliance reviews, draft reports, track resolutions, advise on regulatory changes, respond to FCA queries, support training development, and report on breaches and incidents.

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
  • Puts the client first and focuses on delivering the right solutions
  • Delivers excellent service
  • Trustworthy
  • Demonstrates integrity
  • Demonstrates sound judgement
  • Personal Leadership & Teamwork
  • Ability to embrace change
  • Strong communication skills

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 main purpose of the Compliance Officer role at Evelyn Partners?

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

What types of reviews will the Compliance Officer assist with?

The Compliance Officer will assist in the completion of thematic reviews as part of the annual compliance monitoring programme, using appropriate tools and methodologies to document outcomes accurately and promptly.

What qualifications are preferred for the Compliance Officer position?

The preferred qualifications include being educated to degree level and having relevant regulatory qualifications, with an emphasis on good knowledge of regulatory requirements such as FSMA 2000, PRA and FCA rulebooks.

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

Important skills include a good understanding of regulatory requirements, strong inter-personal skills, sound judgment and decision-making ability, as well as a proactive approach.

Does Evelyn Partners encourage employee development?

Yes, Evelyn Partners prioritizes employee development through regular training sessions and social events to share best practices and encourage teamwork.

What type of culture does Evelyn Partners promote within its compliance team?

Evelyn Partners promotes a supportive culture that emphasizes wellbeing, collaboration, and a client-focused approach within its compliance team.

Are there any specific competencies desired for the Compliance Officer role?

Yes, desired competencies include putting the client first, delivering excellent service, demonstrating integrity, sound judgment, personal leadership and teamwork, and strong communication skills.

What benefits do employees receive at Evelyn Partners?

Employees receive benefits including a competitive salary, private medical insurance, life assurance, pension contribution, a hybrid working model, a generous holiday package, and the option to purchase additional holiday.

Is diversity and inclusion a priority at Evelyn Partners?

Yes, Evelyn Partners is committed to fostering a diverse workforce and values the differences that employees bring, ensuring that all colleagues feel respected and can achieve their full potential.

What support is available for applicants needing adjustments during the application process?

Evelyn Partners is happy to make reasonable adjustments to accommodate the needs of applicants throughout the application process; candidates should inform their Recruiter of any requirements.

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.