Compliance Officer - Asset/Wealth Management - Permanent


Contract Type:


Recruiter Name:
Darren Winter


Compliance Officer - Asset/Wealth Management 
London - West 
Permanent c£100,000

Our client a boutique Wealth Management house based in London are looking to hire a Senior Compliance Officer, to take responsibility for the management of the day to day compliance activity. If you have experience of asset classes (regulated and non-regulated funds) MIfid 11, UCITS and the FCA handbook (CASS and COLL) please get in touch today.

This role will report to the Head of Compliance & Legal.

Candidates with a longer term desire to take on a controlled function and a strong understanding of the FCA handbook are advised to apply for this opportunity.

Responsibilities of the Compliance Officer will include: 

  • Analysing regulations and applying them in a proportionate and practical manner to the business. 
  • Training staff at all levels when required. 
  • Recognising gaps in existing processes or arising from new regulations. 

Successful Compliance Officer will have:

  • Strong understanding of the FCA handbook. 
  • The ability to draft policies and procedures to reflect the new requirements or to update existing policies. 
  • Solid knowledge of the requirements for MIFID II as well as the practical implementation of it. 
  • Previous experience of monitoring. 
  • A legal background or training with an understanding of investments.

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Consultant's Name
Darren Winter

Industry Experience
I am a senior Compliance recruitment specialist with 20 years experience in recruitment. I support many clients and candidates across the permanent, contracting and temporary Compliance & Regulation sector.

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