TrinityBridge
Compliance Officer
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Role overview
To support and assist in the administration and reporting work of the Central Compliance team. Maintaining and managing all information, data, and records held within Compliance to ensure information is readily accessible, searchable, and up-to-date.
Key responsibilities
This is a permanent role as part of the Central Compliance team responsible for the following activities.
- Assisting with the management of the Compliance inbox, to ensure queries are directed to the relevant individuals and within agreed time frames
- Assisting with conflict of interest sign offs (e.g. Gifts and Hospitality, PA Dealing, Outside Business Interests) in accordance with department operating procedures and as assigned by the line manager
- Assisting with coordination and completion of the regulatory returns and regulatory applications in accordance with department operating procedures and as assigned by the line manager. Assisting with the regulatory change log and review of FCA (and other material) in accordance with department operating procedures and as assigned by the line manager
- Maintaining insider log records
- Contribution to Takeover Panel reporting
- Assist with business queries on compliance-related matters
- Contribution to ad-hoc tasks and projects as required
- Oversee and support the firm's SMCR framework, including Certification, Conduct Rules monitoring, Fitness & Propriety assessments, regulatory notifications, and associated record keeping
- Provide advice and training to business stakeholders on SMCR, Conduct Rules, Consumer Duty, and complaints handling obligations. Working with the wider Legal, Risk, and Compliance teams as required
Regulatory responsibilities | Compliance/T&C
- Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.
- Understand, follow, and demonstrate compliance with all relevant internal and external rules, regulations, and procedures that apply to the conduct of the business. Follow principles and rules of the Financial Conduct Authority (FCA) and the internal requirements set out in the Compliance Manual, local, and TrinityBridge Compliance and Risk policies.
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About you | Qualifications, skills, and strengths
- Keen attention to detail, with strong organisation skills
- Ability to work quickly and accurately to tight deadlines
- Good team player with the ability to work on own initiative
- Good communication skills
- A willingness to learn new skills and tasks with a proactive attitude
- Interest in building knowledge of Compliance within a financial advice and asset management firm
- 1+ years of experience within a Compliance environment
At TrinityBridge we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity, and are open to discussing flexible work options to help you balance your work and home life.
We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.
To avoid any ambiguity around fees, please note that speculative CVs received by TrinityBridge, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you. #LI-EM1 #LI-SY1
At TrinityBridge we are all connected by our mission to be leading UK Wealth Manager, growing trusted client relationships that last for generations.
We believe that everyone should think ahead, have a financial plan, and invest wisely. Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments.
We are a team of about 900 people based in 15 offices across the UK. Our geographic footprint means we can combine a local approach with face-to-face services to enable strong, long-term relationships with our clients.
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Sustainability is fundamental to our purpose, and we have a responsibility to help address the social, economic, and environmental challenges facing our business, colleagues, and clients. We strive to do the right thing and are dedicated to helping the charities that matter most to our people.
We offer a wide range of inclusive benefits that provide our people with all the support they need to find a healthy balance in all aspects of their lives. We also invest in the growth of our people providing a sense of belonging and team spirit and the ability to thrive.
We recruit people from all backgrounds and are open to discussing all types of flexible working options, helping our people to balance work and home life and make practical choices for wellbeing while delivering impact where it matters, all of which contributes to our exceptional client experience.
We are committed to ensuring our recruitment process is accessible to everyone. We make adjustments for people who have a disability or long-term condition so, if you need a job description or application form in an alternative format, or would like to discuss the recruitment process with us, please get in touch at TalentAcquisition@trinitybridge.com. TalentAcquisition@trinitybridge.com
As an employer, TrinityBridge is committed to equality and valuing diversity within its workforce. We provide equality of opportunity and will aim to ensure that no employee’s or candidates are subject to discrimination on grounds of any characteristics including but not withstanding gender, gender identity, marital status, sexual orientation, race, colour, nationality, religion, age, disability, working pattern, caring responsibilities, political beliefs.
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