Wealth Compliance Consultant

  • Negotiable
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Charles Levick
  • 15 août 17

Wealth Compliance Consultant My client a leading international compliance consultancy is recruiting an experienced compliance professional to join their consulting business. Must have proven compliance experience gained within financial services and sound regulatory knowledge (MiFiD2/CASS preferred).

Wealth Compliance Consultant

My client a leading international compliance consultancy is recruiting an experienced compliance professional to join their consulting business. Must have proven compliance experience gained within financial services and sound regulatory knowledge (MiFiD2/CASS preferred).

This is a varied role and responsibilities include (but are not limited to):

* Provide clients with responsive regulatory advice and solutions
* Update clients on regulatory change and how it impacts their business
* Draft manuals and other compliance documentation for clients
* Set up relevant compliance infrastructure for clients
* Carry out regular compliance monitoring reviews onsite with clients, and subsequently write compliance monitoring reports
* Lead compliance project assignments across a diverse range of clients

Key Skills / Experience:

* Proven compliance expertise gained over a number of years within:
o Compliance consultancy
o Asset / Investment Management
o Hedge funds
o Securities firms
o The FCA

* Ability to implement solutions to address the regulatory requirements of the client
* Sound knowledge of the FCA handbook
* Experience of monitoring and the ability to develop compliance monitoring programmes and techniques
* Strong client facing ability
* Excellent oral and written communication skills

Preferred
* Developed their compliance expertise in an asset management environment
* Gained exposure to wealth management compliance and has an in depth understanding of product and processes
* Experience of MiFID2 and/or CASS would be beneficial