Compliance Assistant

Recruiter
Incisive Ltd
Location
London
Salary
40000.00 - 45000.00 GBP Annual + Bonus + Bens
Posted
11 Jan 2022
Closes
19 Jan 2022
Employer Sector
Accountancy Practice
Contract Type
Permanent
Hours
Full Time
Travel
None

Compliance Assistant

A vibrant boutique wealth management firm based in Mayfair is looking to add to its compliance team. Due to growth and expansion over the last 18 months they are looking for an intelligent, sharp and motivated Compliance Assistant.

Key responsibilities:

Technical FCA regulatory knowledge for the wealth management sector and the rules which apply to the business
Detailed understanding of UK MiFiD, AIFMD, SMCR, and other relevant European and/or US Regulation
Draft new policies in response to regulatory change
Maintenance and development of the Group's Compliance policies and procedures
Maintenance and execution of the Compliance Monitoring Programme
Review and sign-off of financial promotions
Working knowledge of AML and KYC

Any experience in the following is highly desirable:
Listing Rules
CASS
Capital Markets
Wealth Planning/IFA
Research

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