Compliance Officer-Wealth Management Specialist
1 month ago
The Azets Wealth Management Compliance Officer is responsible for ensuring compliance with all relevant laws, regulations, and internal policies within the Wealth Management department. This critical role involves monitoring, assessing, and enhancing the compliance framework, and providing guidance to the Wealth Management team.
Key Responsibilities- Stay up-to-date with relevant laws and regulations that affect Wealth Management services and products.
- Develop, implement, and manage a comprehensive compliance program to ensure adherence to all applicable regulatory requirements.
- Monitor changes in the regulatory environment and adapt compliance policies and procedures accordingly.
- Provide guidance and direction to the Azets Wealth Management team to ensure compliance with all internal and external regulations.
- Conduct regular compliance assessments and audits to identify areas of non-compliance or potential risks.
- A bachelor's degree in business, finance, law, or a related field; a master's degree or relevant professional certifications is a plus.
- A minimum of 5 years of experience in compliance within the financial industry, with a focus on Wealth Management compliance.
- In-depth knowledge of relevant financial regulations, such as FCA.
- Strong analytical, problem-solving, and risk assessment skills.
- Excellent communication and interpersonal skills.
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