Compliance Officer - Asset/Wealth Management

cer Financial
United Kingdom
07 Oct 2017
07 Nov 2017
Contract Type
Full Time
Compliance Officer - Asset/Wealth Management London - West Permanent c£100,000 Our client a boutique Wealth Management house based in London are looking to hire a Senior Compliance Officer, to take responsibility for the management of the day to day compliance activity. If you have experience of asset classes (regulated and non-regulated funds) MIfid 11, UCITS and the FCA handbook (CASS and COLL) please get in touch today. This role will report to the Head of Compliance & Legal. Candidates with a longer term desire to take on a controlled function and a strong understanding of the FCA handbook are advised to apply for this opportunity. Responsibilities of the Compliance Officer will include: - Analysing regulations and applying them in a proportionate and practical manner to the business. - Training staff at all levels when required. - Recognising gaps in existing processes or arising from new regulations. Successful Compliance Officer will have: - Strong understanding of the FCA handbook. - The ability to draft policies and procedures to reflect the new requirements or to update existing policies. - Solid knowledge of the requirements for MIFID II as well as the practical implementation of it. - Previous experience of monitoring. - A legal background or training with an understanding of investments.
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