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Job Specification

Compliance Officer – PWM/PB Experience Required

£100K - £140K + Benefits & Bonus | West End
Ref: 3564J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our Client, London based Wealth Boutique and Fintech organisation are looking to recruit an experienced Compliance Officer to take oversight of Regulatory Compliance and hold the Controlled Function with the FCA. Managing a small team, duties will include:

• Drafting and reviewing of company policies, procedures and registers that adhere with FCA regulatory requirements
• Testing and monitoring the implementation of company policies
• Preparation and submission of regulatory reports to the FCA
• Implementation of Brexit Plan
• Monitoring and managing MiFID II Compliance
• Undertaking additional duties to meet Company needs

You should be a graduate with at least 5 years relevant experience from financial services with a strong technical knowledge of the FCA Handbook (inc Cass) and some experience from Private Wealth Management or Private Banking.

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at                                                          


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