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Compliance Officer , Wealth Management


Compliance Officer , Wealth Management


We are currently seeking an experienced generalist Compliance professional to join a small but growing Wealth Management company based in London. This opportunity allows you to work in a fast-paced, hands on environment acting as sole Compliance person for the business


* Undertake compliance monitoring
* Regulatory Returns
* Quarterly compliance reports to the board
* Review Financial Promotions
* Ensure the business is aware of any regulatory developments

Experience/Knowledge Required:

* Experience working in a generalist compliance role
* Relevant industry experience: Wealth or Investment Management
* Knowledge of AiFMD, MCOBS and MiFID

This role is standalone so you must be a self-starter and confident in being the point of contact for all compliance queries. There is excellent progression opportunities with the potential to hold the control functions in the future and to also grow a team around you as the business grows.

Please quote <44699> when calling Tom at Alexander Lloyd or email them at This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Compliance & Risk recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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