An exciting opportunity has arisen for a Compliance professional to join a family office wealth manager based in the City. This will be a standalone position holding CF10, CF10a & CF11.
* 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.
* Experience of financial services compliance within the wealth management sector * Detailed and current knowledge of the FCA Handbook and Rules including MiFID II * Strong interpersonal skills - able to be assertive when needed and to influence others * Ability to work in a standalone role * Experience of GABRIEL
Prior experience of holding the CF10, CF10a and CF11 controlled functions would be desirable, however, we will consider candidates with a relevant background looking to step-up to a more senior role.
Please quote (43462) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services 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. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. 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 www.alexanderlloyd.co.uk for any other roles which may be of interest.