Compliance Officer
- Recruiter
- Bear Consulting Ltd
- Location
- London (Central)
- Posted
- 07 Oct 2018
- Closes
- 19 Nov 2018
- Job role
- Accountant
- Sector
- Accounting - Public practice
Well established City based Wealth & Asset Manager is seeking an additional compliance officer to join the team who is looking for an ambitious career path. Our client, has informed us that the role will involve:
- Carrying out the risk based monitoring plan and working with the heads of compliance to enhance the current programme
- Recommend improvements and keep up to date with regulatory changes.
- Provide advice and guidance to the front office
- Assist with high level risk assessments
- Produce monitoring reports for senior management
- Carry out regular thematic reviews
- Handle queries from internal and external stakeholders
- Assist the team with other compliance issues such as Marketing / Financial Promotions, Financial Crime / AML queries
The ideal candidate will have:
- A broad Compliance monitoring background within Asset Management or Wealth Management
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