Compliance Temporary Support – Wealth management (6 month FTC)

THE COMPANY:

Our client is an award-winning wealth management firm based in London.   They are looking to hire temporary compliance support, to assist with general compliance and financial crime advice to the business.

THE RESPONSIBILITIES:

• Deliver the Ongoing Advice Review
• Perform regulatory horizon scanning and provide written updates to the CRO and for committees
• Support the regulatory risk assessment
• Provide advice and guidance to the business on regulatory matters as assigned , in line with the firm’s risk appetite.
• Undertake other compliance related activities as assigned

EXPERIENCE REQUIRED:

• Must have strong Understanding of the UK wealth management industry, its activities, products and services
• Strong experience of suitability
• Understanding of the UK regulatory environment for wealth management firms
• Experience of supporting risk or regulatory projects
• Minimum of five years’ experience in Compliance
• Experience in a role which involved significant stakeholder management

For further information please contact Hannah Tabatabai