Compliance and Risk Officer

London Permanent
  • Hands-on role.
  • Great stakeholder exposure.

About Our Client

A highly regarded wealth management firm.

Job Description

The key responsibilities include:

To provide day to day Compliance support to client facing and operational staff

To perform and document a range of reviews and tests as set out in the Compliance Monitoring Programme, presenting results to the Risk and Compliance CommitteeTo research and assess new regulations and emerging regulatory issues in order to assess and document the potential impact on the business, promoting a culture of good compliance and risk awarenessTo assist with the maintain the compliance within the FCA regulatory framework ensuring there is suitable evidence to support this

To advise on, review and approve financial promotions for issue in the UK

To undertake prevention of money laundering tasks including suspicious transactions monitoring, account opening and monitoring of sanctions.

The Successful Applicant

The successful candidate will have:

The knowledge and personal attributes necessary to support the roles of SMF16 and SMF17.

An understanding of the wealth and asset management industry in the United Kingdom

A sound knowledge of laws, regulations and practice applicable to an FCA-regulated private bank, wealth or asset manager.

What's on Offer

Competitive salary and benefits.

Lucy O'Donnell
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Job summary

Banking & Financial Services
Compliance & Legal
Financial Services
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Consultant name
Lucy O'Donnell
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