Compliance Specialist - 6 month contract
My Client is currently looking for a Compliance Specialist to join their team in Birmingham on a 6 to 12 month fixed term contract. This opportunity is based within their Portfolio Monitoring Project Team and suitable candidates must come from an investment/discretionary background. This position will form part of a team dedicated specifically to a project to undertake 4 eyes checking of the outputs from a fully documented suitability review for all discretionary and advisory clients undertaken by Private Client Managers (PCMs). The main purpose of the role is to ensure that for each portfolio reviewed, the process has been followed by the PCM and sufficient documentary evidence is provided to support the reviews and that the conclusion in relation to whether the portfolio is suitable given the client's stating attitude to risk, investment objectives, financial position etc is correct. * Following prescribed guidance, to undertake 'four eyes' checking of each suitability review completed to ensure the defined process has been followed by the PCM and that the suitability judgement made by the PCM is credible. * To provide challenge to the suitability judgements made by PCMs where necessary * To provide advice to PCMs where required in relation to the execution of the reviews in line with the firm's prescribed process * To coordinate any submissions to the Suitability Committee and any relevant documents required to facilitate the process * To attend and document minutes of the Suitability Committee where required. * To assist in producing MI and appropriate reports documenting the results of the review process and project progress. * To undertake any specific compliance and business tasks related to the Portfolio Monitoring Project as directed by the Project Manager and Sponsor. * To undertake any other tasks or duties associated with this role. For more information please contact Emma Murray on 0779 128 0859 or email firstname.lastname@example.org Please visit www.idexconsulting.com for further opportunities. Foot Note: If your application is successful we will contact you to discuss the opportunity in more detail within 48 hours of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.
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