Compliance Officer - Wealth Management - £50k - London, United Kingdom,


➢ To undertake compliance monitoring activities in the business and report to Partners
➢ Regulatory Returns
➢ Quarterly Compliance reports to the Board
➢ Regulatory Training to staff
➢ To research and provide updates to staff regarding regulatory developments and ensure the business is aware of any regulatory developments.
➢ On-boarding of clients
➢ Reviewing Financial promotions
➢ Knowledge of AiFMD, MCOBS, MiFID
➢ Assistance with ICAAP reporting
➢ To assist in the development of procedures as new rules and legislation are introduced
➢ To support the ethic of and evidence of Treating Customers Fairly (TCF) and conduct risk within the company through training and input regarding processes

➢ At least 3-5 years' experience in a similar role
➢ Maintain awareness and understanding of regulatory developments
➢ Demonstrate the highest standards of integrity and professionalism
➢ Degree preferred, but not essential
➢ Compliance qualification
➢ A keen interest in compliance is essential
➢ Good presentation skills
➢ Good attention to detail
➢ Able to work and communicate with colleagues at all levels
➢ Demonstrate ability to work efficiently and accurately under pressure
➢ Proficient in Word; PowerPoint; Excel