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.