Compliance Officer Wealth Management

Recruiter
Morgan McKinley
Location
London (Greater)
Posted
12 Oct 2018
Closes
14 Oct 2018
Sector
Legal
Contract Type
Permanent
Hours
Full Time
My client a leading wealth manager is seeking to appoint an advisory compliance officer with private banking experience. The role will cover a period of a maternity and you will be working for the international wealth management UK Advisory Compliance Team that cover the UK Private Banking business. The team performs an advisory, training and investigation function in respect of all aspects of the UK Private Banking business to ensure that the business adheres to local regulatory requirements and Group policies. Responsibilities include Responding to business queries relating to regulatory or policy matters by providing accurate and value added advice in a timely manner; Performing reviews and providing approval of financial promotions; Participating in projects and new initiatives and driving the compliance agenda; Reviewing regulatory publications to analyse impact to UK Private Banking Business; Participating and leading internal investigations; Participating in the delivery of Compliance Training. Experience Proven experience in Financial Services sector within a Wealth Management Compliance Advisory Team. University degree or equivalent educated; Good Knowledge of Wealth Management Products and Services (including mutual funds, structured products and alternative investments) - knowledge of Discretionary Management especially helpful. Understanding of the UK Regulatory Environment as it applies to Retail Clients; especially the ESMA and FCA suitability rules Morgan McKinley is acting as an Employment Business in relation to this vacancy. Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.

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