Compliance Officer - Wealth

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Compliance Officer - Wealth Management

London

I am currently working with a Wealth Management organisation going through an aggressive and exciting period of growth.

As a part of this growth they require their first internal risk & compliance hire (this will be a compliance advisory specialist). Somebody who will be responsible for providing regulatory compliance expertise and building out the company risk & compliance framework, adhering to regulatory standards.

Responsibilities:

- Design & delivery of compliance & risk frameworks

- Reporting to group board on compliance & risk

- Ensuring regulatory and legal compliance

- Compliance monitoring. Handling necessary enquiries and reporting/advising senior management.

- Managing organisational operational risk.

Essential Skills:

- Knowledge of relevant regulatory compliance laws, rules and procedures

- Knowledge of operational risks within financial services

- 4+ years Compliance Monitoring experience in a financial services organisation

Full job specification available for applicants meeting the above criteria.

Please note: due to volume of applications, individual responses cannot be guaranteed.

Compliance Advisory; Risk Frameworks; Regulatory Compliance; Compliance Monitoring; Regulatory Change