Front Office Compliance Advisory
Compliance - Front Office Advisory
I am recruiting for one of the most reputable global wealth managers in the city who are looking for a Front Office Compliance Advisory Officer- This is a truly unique opportunity- the organisation is renowned for its excellent culture, environment and values and is regularly voted one of the best places to work in the city.
The Bank sits in the top 20 and is very highly regarded both for its operations and its culture. They regularly win awards for the culture and are often cited as being the best place to work in the city. The bank has recently merged with the investor and treasury services unit and this means the compliance team are now covering a new business arm.
The role sits in the wealth compliance team covering all aspects of its wealth management business. Looking at the advisory piece this roles aim is to develop, promote and support a strong compliance culture whilst providing advice and guidance on compliance related matters and providing proactive solutions from a Compliance and Regulatory Risk standpoint.
Key responsibilities include
• Reviewing, approving financial promotions.
• Developing and delivering compliance training materials
• Keeping abreast of and update business stakeholders on key regulatory developments
• Policy reviews and other key compliance management
• Assist in collating appropriate responses to requests
This role require experience within the UK regulatory environment - wealth management industry experience is important. A good understanding of FCA Conduct of Business Rules; Understanding and awareness of services provided by private wealth management businesses.
Hays Investment Management is a subsidiary division, and stand-alone brand, within the Hays Financial Markets group in the UK.
We have a specialist team of over 30 dedicated recruitment experts focussing exclusively on London's buy-side/investment sector, spanning Institutional asset management, retail private client wealth, Hedge Funds and PE/VC houses.
Our extensive Investment sector expertise and search capability spans 12 individual businesses
To find our more information on the above role or for a confidential discussion on the market please contact Abigail Vann on 020 3465 0110
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