Private Wealth Management Compliance Officer recruitment
A fantastic opportunity has arisen for a private wealth management compliance officer, to work for a top tier private wealth management.
You will be responsible for managing core responsibilities within the private wealth management compliance function. The team is responsible for amongst other things: trade surveillance, customer complaints, account reviews, branch examinations, employee dealing and outside business interests, policies, procedures, training.
Responsibilities include:
- Managing core responsibilities within the private wealth management compliance function.
- Trade surveillance, with additional responsibilities to include financial promotion reviews, complaints handling, assisting in the preparation of the regular compliance management information, and undertaking compliance monitoring reviews.
Skills and Experience:
- Familiarity with general UK compliance issues and relevant laws and regulations e.g. the UK Financial Services and Markets Act, FSA Conduct of Business Rules, Client Assets Sourcebook, Approved Persons Regime, Markets in Financial Instruments Directive, Retail Distribution Review is highly desirable.
- Experience in private wealth management in an operational, internal audit or compliance function is advantageous.
- Good understanding of investment products, including equities, derivatives and funds is beneficial.
To apply for this role you will need to possess the relevant experiences listed above.
This is a fantastic opportunity to work for a leading private wealth management.
To apply for the role you must be eligible to work in theUK.
Please contact: ycush@morganmckinley.co.uk or call: 02070920206.
