Wealth Management Compliance Manager

3 weeks ago

London, United Kingdom Austin Andrew Ltd Full time

My client is a boutique wealth management firm based in London
It is recruiting a part time Compliance Officer (three to four days a week)
The successful candidate will ensure that the UK wealth management business and operations comply with regulatory requirements and internal policies and standards
Within the wider group it also has global office
Hybrid working is available
Good knowledge of the relevant UK rules and regulations applicable to the firm’s regulated business and activities (including FSMA, AIFMD, MiFID II, MIFIR & UCITS)
Experience in private client investment/wealth management compliance, where colleagues give regulated advice to wealthy individuals/UK retail clients
Responsibility for the compliance function of the UK business - cover all UK compliance, risk and AML obligations and requirements, reporting to the Chief of Staff
FCA regulatory filing
Holds relevant compliance qualifications

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