Compliance Officer - Wealth Management

09 Sep 2020
07 Oct 2020
Contract Type
Full Time

Our client is one of the world's leading banks, with more than 45,000 employees, offices in 50 countries and expertise in nearly every facet of banking, investing and finance.

Location: London
Duration: 6 months

The Role

The Compliance team performs an advisory, training, and investigation function in respect of all aspects of the regulatory framework that applies to the UK Private Banking business. The team provides support to the business in ensuring it adheres to local regulatory requirements and Group policies. The role provides an excellent opportunity to work as part of a highly qualified team, influencing the implementation of the Bank's strategic development.



Providing accurate and value added advice and support relating to regulatory or policy matters in a timely manner in response to business queries;

Participating in local and group wide projects and new initiatives and driving the compliance agenda;

Reviewing regulatory publications to analyse impact to UK Private Banking Business;

Participating in and leading on reviews of implementation of regulatory requirements;

Participating in and leading on internal investigations;

Performing reviews and providing approval of financial promotions;

Participating in the delivery of Compliance training;

Acting as subject matter expert on specific regulatory topics.

Experience Required

Minimum of 3 years' experience in the Financial Services sector within a Wealth Management Compliance Advisory Team;

University degree or equivalent educated;

Good Knowledge of Wealth Management Products and services (including mutual funds, structured products and alternative investments);

Understanding of the UK Regulatory Environment as it applies to Retail Clients;

Excellent oral and written communication skills and be able to interact with individuals at all levels;

Ability and desire to develop compliant solutions to business needs;

Knowledge of the Tax Compliance rules (i.e. FATCA and AEI) and U.S. Cross Border rules is an advantage;

Relevant Legal /Compliance Qualifications desirable.

Candidates will ideally show evidence of the above in their CV in order to be considered.

Please be advised if you haven't heard from us within 48 hours then unfortunately your application has not been successful on this occasion, we may however keep your details on file for any suitable future vacancies and contact you accordingly.

Pontoon is an employment consultancy and operates as an equal opportunities employer