May 24, 2024

Deputy Compliance Officer – Wealth Management

A Wealth Management platform is looking to recruit a Deputy Compliance Officer to join the Compliance team in a newly created role as the business continues to expand. The successful individual should have a strong Compliance Monitoring background alongside experience covering more generalist areas of the Compliance function. Ideal opportunity for someone who has aspirations to become Head of Compliance in the future.

Main Responsibilities

  • Managing and developing the Compliance Monitoring Programme;
  • Assigning and performing all testing and monitoring activities in a prompt and comprehensive way (with the help of 2 team members);
  • Negotiating and confirming any corrective actions arising from the testing and monitoring activities;
  • Ensuring timely and precise completion of agreed action plans;
  • Report on results and findings of testing and monitoring, and related activities, including the resolution of any gaps;
  • Efficient and clear organisation and documentation of the implementation of the monitoring and testing programme.
  • Keeping all compliance policies and procedures current and reviewed regularly.
  • Acting as the Compliance Officer when they are away, including going to internal committee and management meetings and overseeing other Compliance Team members;

Job Requirements: 

  • At least 10 years Compliance experience within a similar Wealth Management firm.
  • Strong Compliance Monitoring experience, essential.
  • Knowledge of CRS and FATCA, preferable.
  • Strong knowledge of the FCA handbook, in particular CASS and COBS.
  • 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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