Compliance Advisory – Wealth Management

EC2, London
£50K - £65K + Bonus & Benefits
09 Sep 2019
09 Oct 2019
Contract Type
Full Time

A leading wealth management company is looking for a Compliance Officer to join their Advisory team in a broad role that will offer a wide exposure to the business. An excellent opportunity for an individual looking for that step up in their career.

Main Responsibilities

  • Provide general regulatory guidance and advisory services to certain internal business areas.
  • Support projects ensuring compliance with regulatory and legislative requirements.
  • Respond to ad-hoc queries and new business initiatives.
  • Identify general regulatory and compliance risk issues including the review and assessment of FCA regulatory updates/change in legislation.
  • Ad hoc duties related to development of processes within the team, or the wider business which require compliance input, and any other specialist tasks.
  • Assist with the development and implementation of Compliance and AML procedures.
  • Develop and maintain ongoing management information for the Management Board.

Job Requirements:

  • At least 3 years Compliance experience working within a similar Wealth Management or Private Banking. Candidates will have solid advisory experience and be comfortable facing off to the business on a daily basis.
  • Strong relevant rulebook knowledge including COBS
  • Excellent verbal & written communication skills.

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