Senior Compliance Officer - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

A continually growing Wealth Management firm based in London are looking for a Senior Compliance Officer to join their Compliance team in a newly created role that will focus on Regulatory Projects.


Main Responsibilities:


  • Identify general regulatory and compliance risk issues including the review and assessment of FCA and data protection regulatory updates/change in legislation.
  • Autonomously support a widerange of internal initiatives and projects ensuring compliance with regulatory and legislative requirements.
  • Provide oversight and work to further develop formal policies and procedures as well as other processes within the team.
  • Provide general regulatory guidance to all areas of the business.
  • Independently respond to adhoc queries or perform specialist tasks as needed to enable the business to meet its regulatory obligations.
  • Assist in the planning and provision of training for staff in line with current and future regulatory requirements.
  • Provide advice and assistance to the business on cross border conduct of business rules, such as customer solicitation, provision of investment service/products in other jurisdictions.
  • Develop and maintain ongoing management information for the Management Board to enable the Firm to effectively supervise its business.
  • Act as delegate for Head of Compliance and Legal with internal projects and industry groups, when requested.
  • Actively contribute and to the development of junior members of staff.

Job Requirements:


  • At least 7 years generalist Compliance experience working within a similar Wealth Management or Private Banking business.
  • Previous experience implementing new regulations across a business.
  • Strong knowledge of UK regulation and legislation, in particular SYSC, SMCR, GDPR and COBS.
  • Degree educated
  • Excellent interpersonal skills.
  • Good communicator, comfortable dealing with all levels of staff.
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