Compliance Officer

Compliance Officer, Fixed Term Contract, London, Wealth.

My client, a wealth management firm, urgently require a Compliance Officer to conduct a Compliance-based monitoring programme and to provide sound regulatory advice to those delivering customer-focused investment services.

This role is based in London on an initial 6 month contract and is paying up to £47.5K (pro rated) + Benefits.

The candidate must have:
*Relevant investment and/or compliance industry qualification essential (CISI or similar)
*Demonstrable UK experience in monitoring and reviewing Private Client investment management services in a Private Bank, Asset Manager, or similar organisation, preferably in a Compliance role.
*Detailed regulatory knowledge required, covering Conduct of Business (COBS) and Client Assets (CASS) sourcebooks as a minimum.
*Knowledge of other FSA sourcebooks an advantage.
*Ability to analyse and communicate regulatory change to business areas.

If you match the above skill sets, and are interested, please send me your up to date CV and I will call you to discuss in more detail.

Compliance, Investment, regulatory, CISI, COBS, CASS, FSA, Asset, Wealth, Analyst.

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