A leading manager of funds for UHNW individuals is looking for a Compliance Officer with Compliance Advisory experience. The right candidate will need to have at least 5 years of experience and have previously working in a Private Bank/Wealth Manager or Investment Banking setting.
Your responsibilities will include:
- Oversight of Investment Advisory
- Advisory for upcoming key regulatory projects and implementation to the business (PRIIPS, MAR, MIFID 2, SMCR, Client Money)
- Provide training and oversight to key business areas to maintain compliance.
- Adhoc project work when required
- Regulatory Compliance experience in Investment or Private Banking/WM.
- Have previously provided advice/solutions to the business on a range of topics
- Equities or FX experience is highly desirable
- Securities lending/loans regulatory knowledge would be useful
- Track record of delivering policy advice to front office sales and trading staff.
- Able to have oversight of junior staff members.