Compliance Advisory – Wealth Management
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.
- 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.
- 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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