Compliance Operations Officer | Investments | Remote £35 - 40,000 (doe)
Finitas are delighted to be partnered with a leading investments company in their search for a Compliance Operations Officer.
This is a brand-new role which will sit within the growing compliance function and report directly into the Head of Compliance Operations. You will be required to assist, maintain & improve the following:
- Policy framework
- Breach management framework
- Compliance reporting framework
- Conflicts management
- Remuneration schemes
- 3-5 years working in a investments, platform or wealth management setting
- Relevant compliance, risk management and control expertise is desirable
- Experience in stakeholder management and engagement
- Understanding of the three-lines of defense
This is an amazing opportunity to be part of a dynamic new team with lots of exposure and development opportunity and also be part of a company that promote a great working culture.
For more information, please get in touch with Raj on 02033702000 / r.basra @ finitas.co.uk