Senior Compliance Officer

2 weeks ago

London Area, United Kingdom Equifind Full time £60,000 - £100,000 per year

Equifind
are supporting a leading Wealth Management firm based by Liverpool Street, London City in order to hire a Senior Compliance Officer – on the monitoring side due to growth.

The firm works hybrid and come in to the office a minimum of 3 days per week.

The role will report to the Chief Compliance Officer and will manage two juniors.

The Role

The role fits into the compliance function and is there to monitor policies and procedures to ensure strict compliance in line with the firms internal risk framework. The team also acts as a business partner in an advisory capacity to the investment team with regard new products and strategies.

  • Management of two compliance analysts/associates
  • Execute test scripts in line with the firms monitoring programme.
  • Constant research and review of the firms risk assessments.
  • Improve and automate testing.
  • Improve test scripts accounting to UK/US requirements
  • Produce and present internal reports to the senior management committee
  • Provide recommendations based on escalated matters
  • Ad hoc projects

Requirements of the role

  • 8-10 years within Financial Services in London
  • Strength of knowledge of the FCA rules including CASS and COBS
  • Experience within Wealth Management nice to have
  • Line Management experience

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