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Compliance Officer

3 months ago

Camden Area, Greater London, United Kingdom Lutine Bell Full time
Lutine Bell are currently supporting a leading Wealth Manager looking to appoint a Compliance Officer.

The role reports directly into the Head of Compliance and will help the individual grow their exposure to compliance with a view to taking on more responsibility as opportunities arise.


Responsibilities :


Breach investigation as well as recording and reporting.nProviding general compliance guidance to Partners and staffnEnsuring that new applicants meet the requirements and standards for the firm.

Preparing the electronic file for review by the Head of Compliance.nEnsuring the SMCR records are created and issued for new Partners.nMonitoring and responding to the Compliance 'Info' email box.nProvide updates to the Finance Team of any complaints and internal incidents including final redress.nAssist with providing required information to the Finance Team as part of external audit.nCompletion of external due diligence requestsnFacilitating the leavers process for Partners including, where requested, any references.nDeputy MLRO within a small team to ensure AML requirements and checks are met.nProviding cover for the Regulatory Risk Manager during holidays and sickness.


Requirements:

nMinimum Level 4 qualified (financial planning)nA good understanding of regulation from previous roles in a compliance function.nBe able to work as a team to tight deadlines, maintain SLA's in a busy environment.


Salary:

up to £50,000 (plus bonus & benefits)nLocation:
SW London (2 days in the office per week)