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To provide day to day compliance support to client facing staff (covering COBS, SYSC, MAR, SUP, JMLSG, Data Protection, EU Directives).
Perform sales supervision support and 1st level business assurance review (e.g. suitability, cross border activities) for client facing advisors and review for market abuse.
To perform and document a range of tests as set out in the firms Compliance Monitoring Programme relating to front office compliance matters. (e.g. Annual/periodic review checks, Client file checks, periodic discretionary account reviews etc.)
To advise on, review and approve financial promotions for issue in the UK.
In conjunction with the MLRO, to undertake prevention of money laundering tasks including suspicious transactions monitoring, review of account opening and monitoring of sanctions.
To undertake the prevention of market abuse tasks including transactions surveillance PA dealing permissions and maintenance of Insider and Restricted lists.
To assist in the analysis and roll-out of all key regulatory developments impacting the firm, including advice and training for front office staff. Perform face to face compliance training for front office teams across a number of core regulatory topics and legislation (e.g. Training & Competence, TCF, PAD, conflicts, marketing, cross border,sales supervision)
Member of the Risk and Compliance committee
To support full compliance with the regulatory & compliance framework that the firm operates within and according to the principles of industry best practice
Review of proposed new business activity and review/advice to client advisors on material for Client Governance Committee reviews and sign off.
Maintain the risk management registers and heatmap
Maintenance / Management of Conflicts register for the firm
Skills and Attributes Required:
Team player able to balance the needs of compliance and risk management with business growth objectives.
An understanding of the wealth and asset management industry in the United Kingdom
A sound knowledge of laws, regulations and practice applicable to an FCA-regulated private bank, wealth or asset manager.