Compliance Officer
£60,000 - £67,000
City of London
The Company
The organisation I represent is a Wealth Management Business who's European Headquarters is based in London. The company operates across asset classes in multiple jurisdictions. It conducts both cross-border deals and national deals. It is an open and collegiate environment where performance is recognised and rewarded.
The Role
A compliance position reporting to the Head of Legal and Compliance this is very much a "roll up your sleeves" opportunity covering multiple disciplines and asset classes.
- Ensure regulatory requirements are met in conjunction with the Head of Legal and Compliance
- Regular reports produced for senior managers
- Liaison with Asset Managers to keep them fully appraised of developments within Compliance
- Monitoring of new mandates and investment proposals across asset classes
- Analysis and dissemination of Compliance related issues to relevant stakeholders in the UK and further afield
- Ensure internal audit recommendations are actioned
- Respond to both internal and external queries and escalate said queries where necessary
- Ensure compliance protocols are adhered to within the business
The successful candidate will have:
- Excellent written and verbal communication skills
- Comfortable presenting findings to individuals across levels of seniority
- Keep abreast of developments within the Regulatory space
- The successful candidate must possess a Bachelors Degree as a minimum
- A minimum of four years compliance experience within Financial Services
- Strong knowledge of Microsoft Office Suite
- Excellent knowledge of the regulatory environment
- Able to work effectively as part of a team and independently
- The confidence to take the initiative and present findings to senior stakeholders
- Must act with integrity
- Understanding of business needs and how to solve problems
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