Compliance Officer

Company Description

Evelyn Partners is the UK's leading integrated wealth management and professional services group, with over 186 years of experience in helping generations of people and businesses to thrive. We offer an extensive range of financial and professional services to individuals, family trusts, professional intermediaries, charities and businesses.

We provide an award-winning service for our clients by employing the best people. Join us on our mission to place the power of good advice into more hands because we believe that everyone deserves access to good advice, regardless of where they're at in their financial journey.

An exceptional track record of growth and innovation is driven by our core values of: Personal, offering advice based on a true understanding of what matters to our clients; Partnership, working with our clients in a joined-up, collaborative way; and Performance, demonstrating a breadth and depth of advice expertise to deliver first-class results.

Read more about us and available career opportunities here:

Wealth, accountancy and business advisory services / Evelyn Partners

Careers / Evelyn Partners

Why Evelyn Partners London?

Our team operates from the Evelyn Partners head office, fostering collaboration among 1,600 colleagues in a modern environment.

We prioritise audit quality through regular training sessions and social events to encourage best practice sharing and teamwork. Additionally, our office is divided into smaller pastoral care teams to foster relationships and ensure a supportive culture, emphasising wellbeing.

Job Description

Job Purpose

Reporting to the Team Head, provide regulatory input to support delivery of (a) good client outcomes, (b) a compliant and risk aware culture and (c) the Group's business model and strategy.

Key Responsibilities

Compliance Monitoring:

• Assist in the completion of thematic reviews in accordance with the annual compliance monitoring programme, using appropriate tools and methodologies, and documenting the outcome accurately and in a timely fashion.
• Assist with the drafting of high quality reports which outline the findings of assurance activity.
• Assist with tracking the resolution of issues identified and action points agreed.
• Assist with the completion of any ad hoc project work that may occur throughout the course of business.
• Assist with the ongoing Second Line of Defence assessment of regulatory and conduct risks to ensure the assurance activity completed remains risk based.

Advice:

• Provide advice on propositional developments, new business opportunities and regulatory change initiatives, ensuring a strong focus on good client outcomes at all times.
• Provide responses to general queries on the FCA Handbook and Evelyn Partners policies and procedures, escalating queries to the senior members of the Compliance team where assistance is required.
• Support ad hoc regulatory projects as directed by Compliance line management.
• Support the review of regulatory publications and assist with the drafting of briefing notes for business stakeholders.
• Support the development of regulatory training materials.

Breaches and Incidents:

• Identify, investigate and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.

General:

• Assist the Compliance department to maintain up-to-date departmental procedures.
• Collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.

Qualifications

Key Skills and Experience

• Good knowledge and understanding of relevant regulatory requirements, including FSMA 2000, PRA and FCA rulebooks, LSE Rulebook and ISA Regulations
• Experience of wealth management, suitable advice and good client outcomes preferred
• Good inter-personal skills, judgement and decision-making ability, and a determined and proactive approach

Professional Qualifications and Education

• Educated to Degree level
• Relevant regulatory qualifications an advantage

Key Competencies

• Puts the client first and focuses on delivering the right solutions
• Delivers excellent service
• Trustworthy
• Demonstrates Integrity
• Demonstrates sound Judgement
• Personal Leadership & Teamwork
• Able to embrace ChangeStrong Communication Skills

Additional Information

As a colleague here at Evelyn Partners, you will have access to benefits that include:

• Competitive salary
• Private medical insurance
• Life assurance
• Pension contribution
• Hybrid working model (role dependant)
• Generous holiday package
• Option to purchase additional holiday
• Shared parental leave

We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and we're delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment.

We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.