Compliance Adviser needed at Wealth Management Firm recruitment
This firm covers the full breadth of investment management services and requires an experienced compliance professional who has worked extensively in this industry sector and would be capable of managing teams. This is a high profile role allowing the successful incumbent to provide front office advisory, as well as advise the various compliance functions within the firm.
Key responsibilities will include:
- Ensure the business maintains an appropriate compliance culture in embedding new regulation
- Review and refresh compliance controls within the framework to better address current and future regulation
- Contribute towards new product sign-off and participate in key regulatory initiatives
- Provide refresher training to senior management and new joiners to the firm
- Participate in key committee meetings with senior management on governance related matters
Key Skills and Experience required:
- Significant regulatory experience within two or more wealth and investment management services (Private banking, IFA, Stockbroker, Trust or Hedge fund etc)
- Excellent understanding of UK regulation as it affects this industry sector, combined with excellent product and fund awareness
- Proven track record in people management
- Educated to degree level combined with an industry qualification (e.g.IMC )
Location: London
Salary: £75 - £95,000
If you are an experienced compliance professional and wish to continue working in wealth and investment management, kindly forward your CV to me for consideration.
May 10, 2012
• Tags: Compliance Adviser needed at Wealth Management Firm recruitment, Private Banking, Wealth Management careers in the UK • Posted in: Financial