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.

Main Responsibilities:

  • 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.

Job Requirements:

  • 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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