May 29, 2024

Compliance Officer

A Wealth Management business is looking to recruit a Compliance Officer to join the advisory team. The role will require an individual comfortable advising the business on a daily basis and getting involved in a range of Compliance duties.

Main Responsibilities

  • Provide regulatory advice and support to some internal business areas.
  • Review and approve promotional materials/presentations and others.
  • Support projects that comply with regulatory and legislative requirements.
  • Answer ad-hoc questions and new business activities to help line manager(s) meet their regulatory obligations.
  • Ad hoc duties related to improving processes within the team or the wider business that need compliance input, and any other tasks.
  • Carry our Market Abuse monitoring on Bloomberg.
  • Help with planning and delivering training for staff according to current and future regulatory requirements. 

Job Requirements: 

  • At least 3 years Generalist Compliance experience, ideally within a Wealth Management firm.
  • Strong knowledge of the FCA handbook, in particular COBS.
  • Experience with Bloomberg, in particular Bloomberg AIM and/or BTCA would be preferable.
  • Excellent IT skills.
  • Strong communication skills, comfortable working with all levels of staff across the business.
  • Professional qualifications, preferable.

Unless otherwise stated, candidates must have the right to work in the UK. 

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

Apply for this role through this job post or email an application to jobs@clarcrecruitment.com

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