Job Overview

Wealth Management Compliance

Location: London Salary:
Type: Permanent Contact: Liam O'Mahoney
Posted: over 1 year ago

A well-respected European Wealth Management firm based in London is looking for a Senior Compliance Advisory Officer.  Reporting directly into the Head of Advisory this is an excellent opportunity to further your career in an exciting and stable environment.


Key responsibilities;

  • Provide clear and consistent technical advice and guidance to the business
  • Keep on top of front office related regulatory change with regular updates to the business and formation of new policy.
  • Undertaking compliance surveillance activities.
  • Overseeing management information.
  • Aiding the rest of the team in adhoc compliance oversight activities


Key skills;

  • UK regulatory wealth management or private banking experience.
  • Strong FCA Handbook knowledge
  • Good product and investment management services knowledge.
  • Experience of MiFID2, GDPR would be a strong desirable but not essential.
  • Self-starter attitude with good analytical skills
  • Proactive, self-supportive and motivated in the development of a positive compliance culture.
  • Able to present to senior management.