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Senior Compliance Officer, Wealth Management

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Hays Financial Markets

2021-12-03 07:41:59

Job location Barkingside, Greater London, United Kingdom

Job type: fulltime

Job industry: Legal

Job description

Independent wealth management group offering discretionary investment management and wealth planning services, seeks a Compliance Officer to be the most senior member of the team with a view to taking on SMF16/17 in time. Reporting into the Legal & Compliance Director the role involves a combination of staff leadership and mainly hands-on responsibilities, providing assistance to the business on FCA rules e.g. COBS, SYSC, CASS, COLL, PROD. Furthermore duties will involve approval of financial promotions, carrying out suitability reviews, review and presentation of the annual TCF report, monitoring of appointed representatives and training business staff on regulatory changes affecting their roles. The ideal candidate should have at least 10 years' experience as a compliance officer in the private client investment management sector, encompassing UCITS funds ideally and suitability.

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