Compliance Officer

Location
Hertfordshire, Hatfield / Watford, Hertfordshire / Cheshunt, Hertfordshire
Salary
£50000 - £55000 per annum + Benefits package
Posted
01 Dec 2020
Closes
31 Dec 2020
Ref
CT-10898
Contact
Claire Tiley
Contract Type
Permanent
Hours
Full Time



My Client is a blue chip wealth management corporation with operations stretched across the globe.

We are seeking to appoint a compliance officer who will report into the Head of Compliance in order to assist in the delivery of the annual compliance plan.

The successful candidate will have primary responsibility for providing the business with advice and monitoring to ensure ongoing compliance with regulatory requirements relating specifically to wealth management activities.

It is critical that this applicant has existing and demonstrable experience of working within wealth management.

Ideally we are seeking someone with experience in one of the following (in order of preference)

  • FCA COBS
  • FCA PROD
  • FCA CASS


More specific responsibilities include:

Compliance Oversight:

  • Supporting the Compliance Manager in providing high quality conduct and compliance advice and oversight to the 1st Line Business on key regulatory risks and issues in respect of business as usual activities, (including complaints handling) as well as from forthcoming changes to regulations and/or significant business changes/projects (including product developments, new/amended business processes and IT systems).
  • You will assist the business in establishing and maintaining sufficiently effective compliance controls and procedures, ensuring that regulatory obligations are met, weaknesses or control failures are addressed by local management and poor customer outcomes are avoided


Compliance Monitoring:

  • You will conduct independent risk-based monitoring and testing in line with the 1st Line Compliance Plan and ensure there are effective actions addressing the underlying causes of any problems identified.
  • You will provide Compliance reports in respect of risk based monitoring and testing to 1st Line Management and 2nd Line Compliance Function
  • Working with the management you will formulate joint plans for reviewing processes and practices such that any risk is minimised, and transition to new requirements is speedy and effective.


This is an organisation that has always had a highly respected risk, compliance and audit function and so have a good framework embedded through the business. We are seeking a highly professional individual to further cement this relationship and so the successful candidate must have previous compliance experience and be confident when building relationships with stakeholders. It is an excellent opportunity for someone to step up and move their career forward.

Previous wealth management experience is essential and this experience must be recent and clearly articulated on your CV.

The role is based in North London but will also feature working from home for a large portion of the week. Currently the whole office is working from home and as a result the interviews will take place remotely.

For more information please click to apply.

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