Compliance Officer, Wealth Management - London Company Overview: Our client is a prestigious wealth manager who are 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, with generalist responsibilities.
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: · Compliance monitoring
· Advising the business on compliance matters
· Reviewing and approving marketing material
· Horizon scanning
· Advising the business on regulatory changes and developments
· Trade and communication surveillance
· PA dealing, G&E, and conflicts of interest checks
· Anti financial crime work including AML reviews and sanction screening
· Manage and enhance policies and procedures
· Project management
Requirements: · Bachelor's degree in Finance, Economics, Law, or a related field
· Substantial generalist compliance experience working within investment management
· Strong knowledge of UK financial regulations and industry best practices
· Excellent analytical and problem-solving skills with high attention to detail
· Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders
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