Compliance Officer (CF10, CF10a & CF11) – Wealth Management
A small wealth management business is looking for a standalone Compliance Officer to join their niche business in a broad and hands on role covering a wide remit across a range of compliance areas. An excellent opportunity for an individual with strong wealth management compliance experience looking for that step up into a Control Function role.
- Monitor regulatory changes and provide assistance and advice on compliance matters to the business;
- Prepare and submit regulatory returns to the FCA;
- Maintain and develop the in-house Compliance Monitoring Programme;
- Maintain and update the Compliance Manual, policies and procedures;
- Maintain the relevant compliance registers;
- Monitor client money and asset activities including auditor liaison;
- Prepare and present quarterly compliance reports to the Board;
- Co-ordinate AML training within the business;
- Liaise with administrator of our in-house OEIC in respect of regulatory compliance;
- Assist with FATCA, CRS and GDPR requirements.
- Strong financial services Compliance experience from within a similar wealth management/family office business
- Previous CF10,10a & 11 experience desirable
- Excellent communication skills, both written and oral.
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