Compliance Officer – Private Wealth Management recruitment

Job Description

Providing advice and support to business projects and issues requiring compliance input
Managing compliance-led projects
Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
Reviewing and approving client account and trade activity from an Anti-money laundering and a suitability perspective
Providing support for / responding to general compliance-related queries
Development and implementation of compliance-related policies and procedures
Impact analysis and implementation of regulatory changes affecting the PWM business
Trade surveillance and compliance monitoring of business activity
Develop and deliver training for business personnel
Responding to Client complaints, co-ordinating responses with Litigation team

Skills and Experience

Degree educated and/or professional compliance qualification
A minimum of 5 years compliance or other relevant financial services experience. Compliance experience within the private wealth management / retail client experience preferred.
Detailed knowledge of UK regulatory environment and FSA rules
Knowledge of Spanish regulatory regime an advantage
Spanish language preferred
Good working knowledge of products and trading strategies used by PWM, e.g. structured products, alternative investments, derivatives
Experience of conducting trade surveillance or equivalent monitoring activity
Good interpersonal skills and effective written/oral communication skills.
Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
Strong proficiency in Microsoft Excel, PowerPoint and Word a plus

This is a temporary role so candidates must be on a week's notice period or less.

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