AM & Wealth Compliance
Fantastic Wealth Asset Management Compliance Contract opportunity
£300-450 per day
Working in Tier 1 Banks - AM Wealth division
Advisory focused role
Essential experience
1. Industry knowledge
A broad understanding of the wealth management industry including key service offerings (wealth planning, investment advice, investment management)
2. Product Knowledge
Wealth Management product knowledge including regulated and unregulated collective investment schemes, equities, fixed income and derivatives.
3. Compliance Knowledge
Comprehensive knowledge of FCA’s rules regarding retail distribution review, suitability, treating customers fairly. A deep understanding of the FCA’s conduct of business rules with respect to both investment advice and discretionary investment management.
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