Regulatory Associate- Wealth Management

Recruiter
LMA
Location
London
Salary
45000.0000
Posted
07 Feb 2017
Closes
07 Mar 2017
Contract Type
Permanent
Hours
Full Time

Regulatory Associate- Wealth Management

An exciting opportunity is available at a Wealth Management company for a Regulatory Associate whose role will be to ensure that the firm maintains compliance with rules, regulations and legislation. The incumbent will report to the Head of Compliance for Wealth Management.

Some of the key responsibilities are outlined below:

  • Assist with the compliance requirements of all areas within Wealth Management which includes Investment Management and Wealth Planning
  • Compliance monitoring including conducting reviews
  • Maintaining compliance policies
  • Recording, reviewing and approving financial promotions
  • Assisting with client complaints
  • Providing regulatory advice and support

The incumbent must have a good understanding and experience of regulations within investment management and financial planning. You will also need to have strong knowledge of anti- money laundering and financial crime requirements as well as experience with their practical application.

In return you can expect to receive a starting salary of £50,000 plus bonus and benefits. There are also career progression opportunities from this role.