Job Description
Compliance Officer – Wealth Manager - London
Company Overview:
Our client is a global wealth manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Officer to join their Compliance team and contribute to the success and growth of the firm.
Role Overview:
As a Compliance Officer, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will be responsible for monitoring and ensuring adherence to applicable regulations, policies, and procedures. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.
Key Responsibilities:
· Lead and manage the Compliance Monitoring Programme
· Coordinate the full monitoring and testing lifecycle
· Manage and deliver regulatory requests for information
· Ensure prompt filing of all regulatory filings and returns
· Proactively manage changes in the Compliance Framework arising from regulatory changes
· Create documentation supporting Compliance Framework components and record-keeping requirements
· Coach, mentor, motivate and oversee team members and contractors
· Compliance training
· Ad hoc project work
Requirements:
· Bachelor's degree in Finance, Economics, Law, or a related field.
· Prior experience (4+ years) in a compliance generalist or compliance monitoring role working for a regulated financial services firm.
· Excellent analytical and problem-solving skills with high attention to detail.
· Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.
· Excellent oral and written communication skills
If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.
For more details, please contact Jon Pettet at jon.pettet@blackswangroup.com