Skip to main content

This job has expired

You will need to login before you can apply for a job.

Compliance Officer , COBS , SEC Compliance , Wealth Management

JJ Search
London, United Kingdom
£60k - £70k
Closing date
Jun 9, 2023

View more

Job Function
Industry Sector
Finance - General
Employment Type
Full Time
The Role

The Compliance Officer will provide support to the Head of Compliance and the wider Wealth Management Firm in fulfilling the compliance and financial crime functions for the US business.

This is a unique and dynamic role as the sole compliance support to the Head of Compliance, providing exposure to several aspects of UK and US Compliance and opportunities to work closely with various individuals within the Wealth Management Firm.

The Compliance Officer will lead the US Compliance Monitoring Program in order to identify any deficiencies and provide analysis of any remedial work required in order to ensure compliance.

Undertake to complete relevant regulatory filings with both the UK FCA and US SEC.

Maintain and assume responsibility for the maintenance of various internal registers, lists and logs as required under FCA and SEC regulations.

The Compliance Officer will also review and approve new client on boarding KYC in line with Wealth Management's Group standards identifying any issues.

Provide general regulatory guidance and advisory services to certain internal business areas, including Investment Managers, Wealth Planning, Business Development, and the Portfolio Management Team - US and UK business.

The Compliance Officer will review and approve marketing literature/pitch presentations.

Respond to ad-hoc queries and new business initiatives to enable line manager(s) to meet their compliance regulatory requirements.

Development of Compliance processes within the team, or the wider business which require compliance input, and any other tasks. Maintain ongoing management information for the Management Board

Assist with the development and implementation of Compliance and AML procedures.

The Candidate

4 years + Compliance experience in a similar role, with a strong understanding of Wealth Management/Private Banking business.

Good knowledge and practical experience of FCA rules (in particular COBS) is essential.

Knowledge of the US SEC regulatory system is preferred.

Experience of financial crime legislation, FATF recommendations and the JMLSG guidance is essential.

Demonstrable knowledge of financial crime risk and mitigating controls.

Industry or professional Compliance qualification desirable.

Sign in to create job alerts

Sign in or create an account to start creating job alerts and receive personalised job recommendations straight to your inbox.

Create alert