Description
Compliance officer, wealth management, private banking, monitoring, reviewing, regulatory advice, Conduct of business, Client assets sourcebooks, COBS, CASS
My client is looking for a wealth management compliance officer to support the compliance function, provide regulatory advice and conduct a focussed compliance based monitoring programme covering private client investment management.
My client, a leading UK based private bank, is looking for a compliance officer with experience in either wealth management or private banking. The successful applicant must have demonstrable UK experience in monitoring and reviewing private client investment management services in a private bank, asset manager or similar organisation. They are looking for a compliance professional with detailed regulatory knowledge, covering; conduct of business (COBS) and client assets sourcebooks (CASS). Knowledge and a good understanding of other FSA sourcebooks will be advantageous.
The role itself will involve reviewing and assessing the quality and standards of the wealth management department. This will include private client suitability reviews, investment research, dealing, execution and custody operations. As the first point of compliance contact for the portfolio managers, strategy team and research team, you will need to provide high quality regulatory advice to resolve regulatory issues. As a wealth management compliance officer, you will also have to aid the deputy compliance manager in reviewing, analysing and providing policy advice to the wealth management business on new regulatory requirements.
ITHR is acting as an Employment Business in relation to this vacancy. ITHR is an Equal Opportunities employer; we welcome applicants from all backgrounds.