Compliance Advisory - Wealth Management - Fixed Term Contract

Temporary | £42000 - £52000 per annum | London (All) | England | 14.09.18

Our client a leading wealth management business are looking for an advisory Compliance officer on an interim basis. Dealing with senior stakeholders as part of a small team.

Responsibilities-

  • Provide advisory coverage in relation to BAU business, and regulatory projects as required.
  • Answer questions, review financial promotions.
  • Provide assistance in resolving issues in relation to applicable policies and procedures, including dealing and CASS related issues.
  • Responsible for regulatory framework, policies and procedures and regulatory change.

Requirements-

  • Prior Investment Management Compliance advisory experience required
  • Knowledge of applicable regulation including Best Execution, Transaction Reporting, CASS
  • Ability to interact with a variety of stakeholders

For further details please contact the Compliance team on compliancecv@blackswangroup.com

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