Compliance Specialist needed – Wealth Management recruitment
With intense regulatory demands facing the banking sector, they are looking to bring on two subject matter experts in Compliance and conduct risk as it applies to wealth management and private banking services.
This is an excellent opportunity for a developed compliance professional that has worked specifically in private client financial services and is familiar with the regulatory risks inherent that prevent fairer outcomes for customers. As an SME, you will have exposure to a broad range of products and services and through projects and assignments, interface and troubleshoot with a broad range of business managers and stakeholders.
Key skills/experience required:
• Extensive compliance experience in the wealth management sector e.g. Private Banking, Wealth Manager, Retail Stockbroker (Essential)
• Comprehensive knowledge of current and future regulation affecting this area of industry (COBS, CASS, COLL, RDR, FINPROM etc) (Essential)
• Significant experience in performing risk assessments, themed reviews and desk based reviews (Essential)
• Broad range of business compliance reviews e.g. operations, front office (essential)
• Understanding of audit processes (desirable)
Location: City of London
Travel: 10 – 15%
If you would like to work for a longstanding and successful banking group and apply your skills as a subject matter expert in compliance; please forward your CV to me for evaluation and next steps.