Compliance Officer (CF10, CF10a & CF11) – Wealth Management

London (Greater)
£90K-£100K + Benefits
07 Aug 2018
23 Aug 2018
Job Sector
Experience Level
Director, Management
Contract Type
Full time

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.

Main Responsibilities:

  • 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.

Job 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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