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| Job Location | London |
| Education | Not Mentioned |
| Salary | Competitive salary |
| Industry | Not Mentioned |
| Functional Area | Not Mentioned |
| Job Type | Permanent , full-time |
Main Responsibilities and DutiesThis is a role at Compliance Officer level working in an advisory capacity, with the two principle aspects of the role being the provision of advice and guidance to the Investment Management and Wealth Advisory areas of the business.Key responsibilities include:•Acting as the primary day-to-day Compliance Advisory contact for the business answering general Compliance queries.•Responsible for Compliance advice regarding the firms financial promotions including day to day review and approval.•Assisting with the production of MI for management reports.•Ensuring risks/issues are escalated to the Senior Compliance Manager.•Partnering with other teams within Compliance and the Compliance & Risk department to help promote a culture of compliance with policies, procedures and regulatory requirements across the firm.•Attending committees, working groups and project meetings as relevant.•Contributing to the development and maintenance of the firms policy framework, including assisting with the creation, updating and roll-out of policies and procedures as required.•Completing other tasks as required by the Senior Compliance Manager.Core Skills and Knowledge Required•A well-developed understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses.•The ability to interpret rules and regulations and to clearly and succinctly articulate their application in the context of the firms business.•Ability to multi-task and deal with a number of concurrent issues.•Confident in ability to present and represent Compliance as required.•Ability to write reports and summarise issues to a level commensurate for management consumption.•Good stakeholder management skills, including the ability to negotiate and influence.•Ability to interrogate data, MI and reports to evaluate where risks or issues may occur to inform the proactive advice aspect of teams work.•Strong technical, analytical and problem-solving skills, with good attention to detail.Other Helpful Attributes•The ability to engage in open dialogue and provide pragmatic solutions, dealing with conflict as required whilst maintaining good working partnerships with all areas of the business.•Strong inter-personal, negotiation and stakeholder management skills.•Willingness to develop self and help enhance team processes.•To speak with clarity, purpose and confidence.•To exhibit high energy, engagement and a focus on delivery.•A collaborative approach, along with the promotion of trust and integrity.•Good organisational and time management skills.•Self-motivated, looking to broaden business and industry knowledge.