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Compliance Officer - Wealth Management

CLARC Recruitment Limited UK & Ireland
Closing date
24 Jun 2022

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Contract Type
Full Time
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A growing Wealth Management firm based in London are looking for a Compliance Officer to join their Compliance team in a generalist Compliance & Financial Crime focused role.

Main Responsibilities:

  • Provide general regulatory guidance and advisory services to certain internal business areas.
  • Support projects ensuring compliance with regulatory and legislative requirements.
  • Review and approve new client on boarding KYC in line with Group standards.
  • Review and approve financial promotions.
  • Respond to ad-hoc queries and new business initiatives to enable line manager(s) to meet their regulatory requirements.
  • Assist with the development and implementation of Compliance and AML procedures.
  • Develop and maintain ongoing management information for the Board.

Job Requirements:

  • At least 4 years generalist Compliance experience working within a similar Wealth Management or Private Banking business.
  • Knowledge of relevant FCA rules, particularly COBS, required.
  • Strong Financial Crime knowledge, including JMLSG guidance is essential.
  • Excellent interpersonal skills.
  • Good communicator, comfortable dealing with all levels of staff.

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