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.
The CLARC Guarantee
- 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.
- we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us.