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Compliance Officer (Generalist)

Job Title: Compliance Officer (Generalist)
Contract Type: Permanent
Location: London
Industry:
Salary: £50000 - £75000 per annum + Benefits and Bonus
Reference: BBBH14357_1487699326
Contact Name: Joshua Rubin
Contact Email: josh.rubin@twentyrecruitment.com
Job Published: February 21, 2017 17:48

Job Description

Twenty Financial Services are working with a prestigious Wealth Manager and Private Bank on an exciting 12 month FTC opportunity based in London as a Compliance Officer (Generalist).

THE COMPANY

The company is highly regarded as one of the leading Wealth Managers and Private Banks in today's market. They are known for providing a tailored and fresh approach to wealth management for their individual client needs.

Their areas of expertise include portfolio management services, financial planning, services for intermediaries and their clients and discretionary portfolio services.

Over the years the company has created a workforce which is valued and a culture that encourages individuals to generate, develop and implement ideas which has been an integral part in growing and strengthening the business.

JOB OVERVIEW

  • Provide general regulatory guidance and advisory services to certain internal business areas, including Investment Managers, Wealth Planning, Business Development, the Centralised Investment Team
  • 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.
  • Identify general regulatory and compliance risk issues including the review and assessment of FCA (and to some extent, the US SEC) 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.
  • Assist with the development and implementation of Compliance and AML procedures.
  • Assist in the planning and provision of training for staff in line with current and future regulatory requirements.
  • Develop and maintain ongoing management information for the Management Board.

SELECTED CRITERIA

  • Strong understanding of Wealth Management/Private Banking business gained through 3 plus years of experience in a similar role.
  • Good knowledge and practical experience of FCA rules particularly COBS is essential.
  • Good knowledge and practical experience of Financial Crime legislation and the JMLSG guidance is essential.
  • Industry or professional Compliance qualification desirable.
  • Highly benefit to have previous experience in a Compliance Generalist role

If are interested in applying for this role then please use the link to have your CV submitted to Josh Rubin. Should you want to discuss your job search in more detail feel free to contact Josh on 0203 189 4317 or email