Compliance Officer - Wealth Management Boutique

  • 35’000£ to 45’000£
  • London, England, United Kingdom
  • Permanent, Full time
  • Non-disclosed
  • 27 Nov 17 2017-11-27

A London based Wealth Management Boutique with a branch in Italy is looking to recruit a Compliance Officer for his London office to help implement the Compliance Manual.

Main responsibilities will include:

  • Ensure that the firm abide to the Compliance Manual
  • Implement the Compliance Monitoring and Surveillance programme
  • Proactively engage with business stakeholders and embed a robust Compliance culture across the firm
  • Provide Advice and guidance on all regulatory requirements
  • Work closely with the regulatory development external consultants keeping update with relevant regulatory changes impacting the business such as the upcoming MIFID II
  • Provide input to policy and procedural changes relevant to the firm
  • Partner with Compliance counterpart in Italy regarding the Italian branch rules and regulations
  • Draft and issue formal reports to the business
  • Support in maintaining risk assessments and ongoing maintenance
  • Be formally appointed as Compliance Officer and therefore registered at the FCA with the controlled functions CF10 and CF11

Essential experience required and skills:

  • Fluent in Italian
  • Subject matter knowledge of Wealth Management and Asset Management products and services
  • Strong understanding of FCA and MIFID regulatory requirements
  • Well developed understanding of the wealth management and asset management industry including UCITS regulation
  • Excellent planning and organising skills