Senior Compliance Officer - Advisory

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.

Reporting to the Team Head, provide compliance advice and guidance to business stakeholders to facilitate 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:

• Support the design and delivery of a risk focused Compliance Monitoring Plan.
• Lead the completion of thematic reviews in accordance with the annual compliance monitoring plan, using appropriate tools and methodologies, and documenting the outcome accurately and in a timely fashion.
• Prepare and deliver close-out briefings to senior management which summarise the findings of assurance activity.
• Draft high quality reports which outline the findings of assurance activity.
• Track the resolution of issues identified and action points agreed,and provide timely escalation to line management where (open) issues / actions are at risk of missing their target completion date.
• Lead ad hoc project work that may occur throughout the course of business.
• Lead Second Line of Defence assessment of regulatory and conduct risks to ensure the assurance activity completed remains risk based.
• Support the continuous improvement of First Line of Defence risk identification and mitigation by reference to Compliance Assurance findings.
• Support the design, implementation and operationalisation of a risk focused Surveillance Framework.

Advice:

• Lead the provision of high quality and timely advice on propositional developments, new business opportunities and regulatory change initiatives, ensuring a strong focus on good client outcomes at all times.
• Lead the response to general queries raised by business stakeholders on the FCA Handbook and Evelyn Partners compliance related policies and procedures.  
• Lead ad hoc regulatory projects as directed by Compliance line management.
• Lead the review of regulatory publications and interaction with trade bodies on specific topics.
• Lead the production of regulatory training materials.
• Contribute to the delivery of F2F compliance related training sessions.
• Assist with the co-ordination of regulatory visits, requests for information and drafting of P11 notifications.
• Produce forward looking and insightful updates on material regulatory issues for inclusion in management reporting.

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:

• Support the Compliance department to maintain up-to-date departmental procedures.
• Support the coaching and development of more junior members of the Compliance department.
• Collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.
• Identify and propose improvements to the control environment to support the consistent delivery of good client outcomes.

Key Skills and Experience

• Detailed knowledge and understanding of relevant regulatory requirements, including FSMA 2000, PRA and FCA rulebooks, LSE Rulebook and ISA Regulations
• Experience of wealth management, suitability and good client outcomes preferred.
• Strong 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

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.