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Compliance Assistant - Wealth Management

Clarc Recruitment
Closing date
14 May 2021

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Job Details

A well-established Wealth Management firm based in London are looking for a Compliance Assistant to join their Compliance team in a broad and varied role. Ideal for someone with 1-2 years Compliance experience within this sector looking to make the next step in their career.

Main Responsibilities:

  • Maintain various registers, lists and logs as required under FCA and SEC regulations.
  • Support of the Compliance Monitoring Program, liaising and building relationships with compliance colleagues in affiliated entities across the Group.
  • Collate data from various sources and prepare internal reports on a regular basis.
  • Support projects ensuring compliance with regulatory and legislative requirements.
  • Respond to ad-hoc queries and new business initiatives to enable line manager(s) to meet their regulatory requirements.
  • Review and development of policies, procedures and processes to ensure that they remain fit for purpose.
  • Identify general regulatory and compliance risk issues including the review and assessment of FCA regulatory updates/change in legislation.
  • Ad hoc duties related to development of processes within the team, or the wider business which require compliance input, and any other specialist tasks.

Job Requirements:

  • At least 12 months Compliance experience working within a similar Wealth Management or Private Banking business.
  • Knowledge of relevant FCA rules, particularly COBS, required.
  • Previous exposure to US regulations (SEC) would be preferable.
  • Excellent written & verbal communication skills.

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