Senior Compliance Officer, Wealth Management Senior Compliance Officer, Wealth Management …

Hays Financial Markets
in London, United Kingdom
Permanent, Full time
Last application, 03 Dec 21
bens/bonus
Hays Financial Markets
in London, United Kingdom
Permanent, Full time
Last application, 03 Dec 21
bens/bonus
Hays Financial Markets
Independent firm offering discretionary and wealth planning services seeks a team lead Compliance Officer

Independent wealth management group offering discretionary investment management and wealth planning services, seeks a Compliance Officer to be the most senior member of the team with a view to taking on SMF16/17 in time. Reporting into the Legal & Compliance Director the role involves a combination of staff leadership and mainly hands-on responsibilities, providing assistance to the business on FCA rules e.g. COBS, SYSC, CASS, COLL, PROD. Furthermore duties will involve approval of financial promotions, carrying out suitability reviews, review and presentation of the annual TCF report, monitoring of appointed representatives and training business staff on regulatory changes affecting their roles. The ideal candidate should have at least 10 years' experience as a compliance officer in the private client investment management sector, encompassing UCITS funds ideally and suitability.

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