Compliance, Private Wealth Management Compliance, Executive Director, London London, Greater Lo ...

Functional Responsibilities

• Provide advice on how to conduct the firm's business in a manner that complies with the comprehensive array of rules, regulations and policies applicable to our business
• Identify Compliance risk associated with business processes and practices including review and potential enhancements of existing controls
• Review and approval of marketing materials prepared for distribution to clients
• Perform thematic forensic reviews
• Review of errors and customer complaints
• Support internal and external audit preparation work
• Provide training on applicable compliance requirements
• Identify, review and implementation of new regulations by partnering with Legal, Business Personnel, Compliance Officers and other stakeholders
• Participation in various global and region specific strategic projects to provide comprehensive Compliance inputs and drive Compliance owned deliverables
• As needed, support development and analysis of existing and new policies, standards and processes to ensure compliance with applicable regulations and requirements
• Advise, challenge and influence stakeholders teams as required in relation to regulations, policies and reputational risk

SKILLS & EXPERIENCE WE'RE LOOKING FOR
BASIC QUALIFICATIONS

• Minimum of 6 years of experience as a compliance officer, in a risk management role, ideally with a nexus to Private Wealth.
• Bachelor's degree or higher in Law, Economics, Finance or Master's degree or MBA a plus, but not required
• Detailed Knowledge of UK regulatory environment and FCA rules
• Any knowledge of other European or international regulatory regimes an advantage
• Inquisitive and proactive in identifying risks and proposing solutions.
• Good interpersonal skills and excellent written/oral communication skills.
• Ability to work with a variety of senior and junior people, and build smooth working relationships.
• Highest attention to detail.
• Good team player - one who is able to prioritize in a fast moving, constantly changing environment.
• Entrepreneurial inclination - ability to work alone and act as project manager
• Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
• Ability to handle multiple tasks simultaneously and work under tight deadlines