Investment Management Company
We’re looking for a Compliance Officer to join an investment management company, providing investment management services and financial planning solutions.
This is a fast moving, fast growing, dynamic and challenging culture but also one where everyone feels part of the team and where they can have fun.
We are recruiting a Compliance Officer to be based near Southampton. They will help the business remain compliant with relevant legislation by operating in a risk-controlled manner.
The role will report to the Chief Operating Officer and the key areas of responsibility are as follows:
- Produce pragmatic internal policies to ensure regulatory compliance
- Ensure that all regulatory returns are completed accurately and in a timely manner
- Work closely with regulatory development external consultants to ensure that the implications of new regulation are understood and implemented by the business
- Support in maintaining risk assessments and on-going maintenance
- Ensure that any proposed changes to the business are compliant with regulations
- Ensuring the validity of all required licences and registrations
Will have previous Compliance experience.
- Have knowledge of the wealth management sector
- Have experience of regulatory change
- Excellent planning and organizing skills
Moxie and Mettle Limited specialise in Marketing, PR, Creative, Digital and Office Recruitment. We work on both agency and clientside roles, encompassing all spectrums of the creative markets including Advertising, Branding, Design, Digital, DM / CRM, Experiential, Integrated, Market Research, Promotional Marketing & Public Relations. From Account Executives, Account Manager to Account Directors, Project Managers, Client Service Directors, Production Managers, Planners, Graphic Designers, Creative Directors, Art Directors, Artworkers, Developers, Digital Designers, PR Account Executives to Directors. And all manner of clientside roles – from Marketing Assistant/Executive to Marketing Manager/Director, Insight/CRM, Market Research, SEO/PPC Manager, Media Relations/Press Officers, Brand and Product Managers.