Compliance Officer - Advisory (12 month FTC) London (GB)
LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. Our mission is to create long-term value for all stakeholders and to provide a transparent service, designed around what is right for each of our clients.
Business Unit:
The role of the Compliance team is to establish, implement, maintain and monitor adequate policies and procedures sufficient to ensure the Firm’s compliance with its obligations under the regulatory systems in which it operates and to counter the risk the Firm may be used to further financial crime.
Brief Role Objective:
Member of the Compliance team reporting directly to the Senior Compliance Officer (Advisory). This varied role will provide exposure to several aspects of Compliance and opportunities to work closely with various stakeholders within the Firm.
Key Responsibilities:
* Provide regulatory guidance and advisory services to all internal business areas.
* Contribute to reporting due from the Compliance team, including regulatory reporting.
* Deliver Compliance initiatives and developments within the team.
* Analyse, plan and execute actions on relevant regulatory developments.
* Improve the efficiency of the team with the intelligent use of data.
* Provide advice on the Firm’s fund management operations.
* Handle and process market abuse alerts generated by third party systems.
* Ensure audit recommendations are dealt with to the required standard.
Your profile
Key Skills and Technical Requirements:
* Good understanding of the wealth management business.
* Good knowledge of the FCA Handbook, particularly COBS.
* Knowledge of fund management and regulatory knowledge of UCITS and AIFMD requirements is an advantage.
* Experience in Bloomberg is an advantage.
Other Skills and Attributes:
* Motivated and conscientious with strong interpersonal skills.
* Ability to manage, motivate, guide and develop those under management.
* Excellent organisational skills and the ability to prioritise.
* Ability to produce well-structured and accurate written communications.
* Ability to question politely but firmly to obtain accurate answers.
* Ability to work independently and as part of a team.
* Team player who supports other members of the Compliance team.
Do you feel addressed? Then simply fill out the online application. We look forward to getting to know you.
#J-18808-Ljbffr