FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Compliance Associate FTC

My client, a Wealth Management firm, are looking for an ambitious Compliance Officer to act as a Compliance Associate supporting the Advisory team. A proactive, solutions-based approach is essential.

JOB TEXT

My client, a Wealth Management firm, are looking for an ambitious Compliance Officer to act as a Compliance Associate supporting the Advisory team. A proactive, solutions-based approach is essential.

Main responsibilities:

* Support the team in executing agreed parts of the firms Compliance plan.
* Contribute to an effective Compliance culture within the business.
* Assist in establishing and maintaining a framework to ensure adequate identification, assessment, communication, control and monitoring of compliance and regulatory risks.
* Assist in regulatory compliance.
* Working with the Compliance Advisory Managers, assist in the establishment of adequate in-house controls and compliance procedures, thereby ensuring operation within regulatory requirements.
* Production of high quality reports arising from regular or ad-hoc compliance reviews/sample testing which succinctly prioritise important issues.
* Assist the Compliance Manager (and Deputy MLRO) with all aspects of their role, as necessary.
* Monitor outside developments in the wider financial services sector to maintain an up to date knowledge and awareness of relevant issues and future trends.

Skills & Experience:

* Proven experience within financial services, preferably within the wealth management sector.
* Solid generalist compliance experience ideally gained within wealth management.
* Expertise in policies and procedures, monitoring and regulatory impact.
* Ability to assess risk to the business and to escalate where required.
* Confidence to liaise with staff and external parties, including the regulator, at all levels.
* Excel Skills - Intermediate/Advanced.
* Word Skills - Intermediate.

The Compliance Practice at Charles Levick support Permanent, Contract and Interim recruitment specialising in requisitions ranging from entry level Compliance Assistants through to Senior Level Appointments. Our focus spans Financial Services to include both Buy and Sell side Capital Market organisations, Private and Wealth Management, Insurance, Life and Pensions, Consultancy and Third Party Market providers.

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
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  • Negotiable
  • London, England, United Kingdom
  • Contract, Full time
  • Charles Levick
  • 19 Feb 18