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Compliance Officer - 2 Days/Week - Northwest London - Part Time
July 13, 2018
London, United Kingdom
Our Client is an independent wealth manager (investment boutique) working with a select group of private international families. We are looking for a professional Compliance Officer (CF10 and CF11) to join our expanding team. This is an exciting role for someone looking to develop and grow within our company.
· Controlled function responsibilities CF10 and CF11
· Governance - chairing operational committee, monitoring compliance issues across the business, ensuring the firm meets all FCA requirements
· Regulatory reporting - coordinating with auditors, lawyers, accountants and consultants. FCA submissions, MLRO reporting, ICAAP, disclosures
· Monitoring - transaction reporting, financial crime, market abuse, conflicts of interest, personal account dealing, inducements and hospitality, ensuring a robust monitoring program and framework is established and maintained
· Policies – maintaining the compliance manual and policies