A well-established Wealth Management firm based in London are looking for a Compliance Assistant to join their Compliance team in a broad and varied role. Ideal for someone with 1-2 years Compliance experience within this sector looking to make the next step in their career.
- Maintain various registers, lists and logs as required under FCA and SEC regulations.
- Support of the Compliance Monitoring Program, liaising and building relationships with compliance colleagues in affiliated entities across the Group.
- Collate data from various sources and prepare internal reports on a regular basis.
- Support projects ensuring compliance with regulatory and legislative requirements.
- Respond to ad-hoc queries and new business initiatives to enable line manager(s) to meet their regulatory requirements.
- Review and development of policies, procedures and processes to ensure that they remain fit for purpose.
- 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.
- At least 12 months Compliance experience working within a similar Wealth Management or Private Banking business.
- Knowledge of relevant FCA rules, particularly COBS, required.
- Previous exposure to US regulations (SEC) would be preferable.
- Excellent written & verbal communication skills.
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