Compliance and Risk Officer

Recruiter
Michael Page
Location
London, United Kingdom
Salary
Negotiable
Posted
10 May 2022
Closes
17 May 2022
Ref
14839109
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
A highly regarded wealth management firm.

Description

The key responsibilities include:

To provide day to day Compliance support to client facing and operational staff

To perform and document a range of reviews and tests as set out in the Compliance Monitoring Programme, presenting results to the Risk and Compliance Committee

To research and assess new regulations and emerging regulatory issues in order to assess and document the potential impact on the business, promoting a culture of good compliance and risk awareness

To assist with the maintain the compliance within the FCA regulatory framework ensuring there is suitable evidence to support this

To advise on, review and approve financial promotions for issue in the UK

To undertake prevention of money laundering tasks including suspicious transactions monitoring, account opening and monitoring of sanctions.

Profile

The successful candidate will have:

The knowledge and personal attributes necessary to support the roles of SMF16 and SMF17.

An understanding of the wealth and asset management industry in the United Kingdom

A sound knowledge of laws, regulations and practice applicable to an FCA-regulated private bank, wealth or asset manager.

Job Offer

Competitive salary and benefits.

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