Compliance Advisory - Wealth Management - Fixed Term Contract

Recruiter
Black Swan Associates Limited
Location
London (Greater)
Posted
15 Sep 2018
Closes
18 Sep 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Our client a leading wealth management business are looking for an advisory Compliance officer on an interim basis. Dealing with senior stakeholders as part of a small team.

Responsibilities-

* Provide advisory coverage in relation to BAU business, and regulatory projects as required.
* Answer questions, review financial promotions.
* Provide assistance in resolving issues in relation to applicable policies and procedures, including dealing and CASS related issues.
* Responsible for regulatory framework, policies and procedures and regulatory change.

Requirements-

* Prior Investment Management Compliance advisory experience required
* Knowledge of applicable regulation including Best Execution, Transaction Reporting, CASS
* Ability to interact with a variety of stakeholders

For further details please contact the Compliance team on [Email address removed]
This job was originally posted as www.cityjobs.com/job/960716895

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