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Eximius Group

Compliance Consultant - Wealth Management

Eximius Finance
London, United Kingdom
Posted about 1 month ago Hybrid Contract £600 p/day
L
Posted by
Lee Barnish
Recruiter
My client, a leading financial services firm in London are recruiting for a 'Compliance Consultant - Wealth Management' on a 6 month contract. Working alongside the Heads of Compliance and Risk and Governance to re-design and implement the firm’s policies and procedures, particularly in relation to Consumer Duty

Responsibilities

Consumer Duty and Conduct Risk:

  • Design and implement a framework for identifying and mitigating conduct risk
  • Assess and update policies and procedures considering new Consumer Duty Principle
  • Contribute to Consumer Duty Working Group

SMCR/Accountability:

 

  • Review and provide gap-analysis on the firm’s Certification process
  • Design and implement a Reasonable Steps framework

Skills and attributes:

  • Regulatory Compliance background, with detailed understanding of UK regulatory environment, particularly in relation to Consumer Duty
  • Direct experience of shaping, implementing or executing effective Conduct Risk frameworks
  • Exhibit strong communication and interpersonal skills and be comfortable interacting with personnel at all levels of seniority throughout the business
Job ID  Lb26734
ABOUT COMPANY
London, United Kingdom
HR & Recruitment
Eximius Group helps business in the financial services, legal, technology, business support and energy sectors attract the best talent. Eximius Finan...
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