Compliance Officer / Manager - Buy Side (Wealth / Asset Management or Private Banking)

With greater focus being put on buy-side businesses across the UK and Europe, IFPR being something all investment services businesses will need to comply with by the end of 2021, along with the already developing  operational resilience, ESG and recovery and resolution planning areas, my client sees a lot of working coming over the next few years. 

Essential skills:

• Knowledge and experience within the asset or wealth management sectors;
• Understanding of regulation applicable to the asset or wealth management sectors (prudential and/or conduct) gained through working at a regulated firm or regulator, or within a professional services firm or similar;
• Ability to manage and deliver against deadlines while working on multiple projects;
• Strong written and verbal communication skills;
• Client handling and relationship management skills;
• Experience of problem solving and being able to develop solutions tailored to clients' needs.

Responsibilities

The responsibilities will vary depending upon the client and engagement profile. Amongst others, you will be:

• Building meaningful relationships with clients
• Supporting more senior team members in the delivery of projects;
• Preparing regulatory analysis and contributing to client reports;
• Being a knowledgeable advisor to clients relating to areas of regulation;
• Identifying and documenting key controls for demonstrating compliance with applicable regulations and contributing to the assessment of these;
• Assisting in technical research, analysing current and emerging regulation and supporting an assessment of their impact on a client or the sector generally; and
• Aiding the team in communication of regulatory findings, verbally and written, to clients in a pragmatic and helpful manner.