Compliance Officer, Regulatory Governance
Parkwell London, United Kingdom
Posted: 8 days ago | Type: In-Office Job | Contract: Permanent | Salary: £85,000
An almost unique opportunity for a highly experienced Compliance Officer to provide support to the Head of Compliance for this small Wealth Management firm in carrying out the day-to-day compliance requirements in line with current FCA regulations.
The role will provide oversight of regulatory processes across the business ensuring compliance with regulatory requirements and internal policies and procedures. This will include working closely with the COO to assist in managing the risk framework to provide a comprehensive 2LOD structure to the business as a whole.
A strong background in the Wealth or Asset Management sectors as a compliance generalist is preferable, along with a solid understanding of FCA regulations and all relevant regulations appropriate to the firm, including COBS, SYSC and CASS risk.
With a commercial approach to the regulatory environment, you will also display exceptional communication skills with exposure to the front office environment as well as other operational areas of the business.
If this opportunity appeals, please get in touch for an initial chat to discuss the role in greater detail.
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