Senior Compliance Officer - City of London, United Kingdom - Synchronicity Group

Synchronicity Group

Verified Company

City of London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

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Description

A leading wealth management firm is seeking an experienced Compliance Monitoring Officer to join their team on a 12 month fixed term contract.

Although Head Office is London, this role can be based from a range of alternative regional offices around theUK, with 1-2 days a week in an office required.

Responsibilities include:

Undertake thematic and deep dive reviews across financial planning, investment management and execution only
Undertake continous monitoring tasks
Involvement in other ad hoc compliance projects as required

You will have strong monitoring experience gained in wealth management/financial planning and good regulatory knowledge and understanding particularly around FSMA 2000 and MiFID II.