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Wealth Management - Compliance Manager / Compliance Officer

  • Salary: £35000 - £45000 per annum
  • Job type: Permanent
  • Location: Livingston, Leicestershire
  • Sector: Quality & Compliance
  • Date posted: 22/02/2017
  • Job reference: J361848A
This vacancy has now expired.

Wealth Management - Compliance Manager / Compliance Officer - £35,000 - £45,000 - ASAP - Leicester

My client is a leading wealth management organisation in need of a talented Compliance Manager / Compliance Officer to come on board and ensure that the investment team are compliant with the FCA Source books.

Wealth Management - Compliance Manager / Compliance Officer responsibilities:

Provide assurance that the Investment Division are complying with the FCA Source books

Provide consultancy work along with other members of the Compliance team to assist the Investment Division to implement and incorporate FCA rules and regulations.

Conduct audits and provide assurance reports to the Audit, Risk and Compliance Committee .

Wealth Management - Compliance Manager / Compliance Officer - Experience in the following is essential:

Experience in monitoring and reviewing the provision of investment services covering :

Regulatory knowledge, covering the COBS , COLL and FUND Source books.

Wealth Management - Compliance Manager / Compliance Officer - £35,000 - £45,000 - ASAP - Leicester

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