Compliance Officer – Wealth Management

London, South East England

I am currently working with a Wealth Management organisation going through an aggressive and exciting period of growth.

As a part of this growth they require their first internal risk & compliance hire (this will be a compliance advisory specialist). Somebody who will be responsible for providing regulatory compliance expertise and building out the company risk & compliance framework, adhering to regulatory standards.


– Design & delivery of compliance & risk frameworks

– Reporting to group board on compliance & risk

– Ensuring regulatory and legal compliance

– Compliance monitoring. Handling necessary enquiries and reporting/advising senior management.

– Managing organisational operational risk.

Essential Skills:

– Knowledge of relevant regulatory compliance laws, rules and procedures

– Knowledge of operational risks within financial services

– 4+ years Compliance Monitoring experience in a financial services organisation

Full job specification available for applicants meeting the above criteria.

Please note: due to volume of applications, individual responses cannot be guaranteed.