Senior Compliance Officer

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  • Discipline:

    Financial Crime & Fraud

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  • Salary:


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  • Published:

    almost 2 years ago

Senior Compliance Officer is required for a boutique global wealth and investment management firm based in the West End of London.

The company provides wealth and investment management services to high net worth individuals, families and institutions from around the world.

As part of their growth phase they would like to appoint a Senior Compliance Officer to support and deputise for the Head of Compliance.

As the Senior Compliance Officer you will work closely with the RM’s, providing on going advice & guidance across various compliance related topics.

You will be integral in the ongoing day to day responsibilities and the future of the compliance function.

Responsibilities include:

  • Leading and managing regulatory projects (SMCR, GDPR, Brexit etc..), horizon scanning, attending compliance conferences and staying at the forefront of compliance.
  • Create & develop as required, compliance policies and procedures.
  • Periodic submissions of FCA GABRIEL reporting. 
  • Reviewing and audit of compliance monitoring plan. 
  • Carrying our new client on boarding.
  • Suitability and compliance against MIFID2.
  • Create and present ongoing training to front office staff.

This is a continuously growing organisation who have recently had investment from a world renowned private equity firm. This Senior Compliance Officer position is a critical hire for them.