Our client is a wealth services platform that is a subsidiary of a specialist investment firm. The Compliance Officer will support the activities of the Risk & Compliance function. This will include:
Platform compliance and risk subject matter expert.
Primary contact point and decision maker for all Platform compliance and risk issues.
Supporting the Platform Proposition and Operations leaders on compliance and risk matters associated with the strategic planning, programme management and day-to-day activities
This is a senior role in a small Risk & Compliance team. The Compliance Officer will be the team’s Platforms ‘expert’ and will be expected to operate largely without requiring material direction and supervision or oversight.
Key responsibilities
FCA COBS Rules relating to UK Platforms.
FCA CASS Rules.
Other UK/EU regulation relating to UK Platforms.
FCA prudential regulations (including ICAAP).
UK Financial Crime -related legislation.
Knowledge/Experience
Proven (long term) senior level, experience with a Risk and Compliance function in the UK Platform industry.
Currently at or close to, the SMF16 level.
Awareness and exposure to a range of UK Platform models and providers
Significant experience in a delegated Platform model (where operations, product provision and custody are outsourced) is preferred.
Operating at a Board/Senior Management level within a UK Platform provider.
Our Commitment to Equality
Rutherford recognises that discrimination and victimisation is unacceptable and that it is in the interests of the Company and its employees to utilise the skills of the total workforce. It is the aim of the Company to ensure that no job applicant receives less favourable facilities or treatment (either directly or indirectly) in recruitment or employment on grounds of age, disability, gender/gender reassignment, marriage/civil partnership, pregnancy/maternity, race, religion or belief, sex, or sexual orientation (the protected characteristics). Our aim is that candidates will be truly representative of all sections of society and each candidate feels respected and able to give of their best. All candidates, whether part-time, full-time or temporary, will be treated fairly and with respect. Selection of candidates will be based on aptitude and ability.
Contact
Karen Cresswell is a Director for Alteris Partners, a Rutherford Partner. Karen specialises in roles within the Finance, Risk/Governance and Compliance space.
Get in touch with Karen by email at karen@alterispartners.com or see Rutherford’s current vacancies.
