Our client is a Private Wealth Management firm based in London that are looking for a Compliance Officer to join their expanding business & compliance team. An excellent opportunity for a candidate in the early stages of their compliance career looking for that next step up.
- Provide general regulatory guidance and advisory services to certain internal business areas
- Support projects ensuring compliance with regulatory and legislative requirements.
- Identify general regulatory and compliance risk issues including the review and assessment of FCA regulatory updates.
- Assist with the development and implementation of Compliance and AML procedures.
- Assist in the planning and provision of training for staff regarding current and future regulatory requirements.
- Ad hoc duties related to development of processes within the team, or the wider business which require compliance input, and any other specialist tasks.
- Strong understanding of Wealth Management/Private Banking business
- Good knowledge and practical experience of FCA rules particularly COBS is essential.
- Good knowledge and practical experience of Financial Crime legislation and the JMLSG guidance is essential.
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