- Hands-on role.
- Great stakeholder exposure.
About Our Client
A highly regarded wealth management firm.
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.