Business Standards Analysts
To c. £60,000 + Bens
This successful financial planning and discretionary wealth management company is seeking a number of business standards analysts. The Business Standards team focuses on delivering high quality advisory standards and practices as well as delivering positive client solutions by liaising with both investment manager and financial planner stakeholders within the business.
The roles involves undertaking risk analysis and other desk based monitoring methods across investment management and financial planning. Additionally, the roles will also support the adoption of new policy, process and controls using MI to identify risk and recommend appropriate remediation, training and improvements.
The positions require someone from a compliance or risk background, previous experience of working within wealth management and demonstrable experience of compliance monitoring, compliance policy or operational risk.
The successful candidate will have a good working knowledge of conduct risk matters, investment governance arrangements and relevant regulations, particularly COBS, CASS and SYSC.
In addition, a relevant professional compliance, financial planning or investment qualification, and proficiency with Excel.
These are permanent, employed positions and not suitable for contracting.