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