Compliance Officer

Lutine Bell are currently supporting a leading Wealth Manager looking to appoint a Compliance Officer. The role reports directly into the Head of Compliance and will help the individual grow their exposure to compliance with a view to taking on more responsibility as opportunities arise.
Responsibilities :
Breach investigation as well as recording and reporting.
Providing general compliance guidance to Partners and staff
Ensuring that new applicants meet the requirements and standards for the firm. Preparing the electronic file for review by the Head of Compliance.
Ensuring the SMCR records are created and issued for new Partners.
Monitoring and responding to the Compliance ‘Info’ email box.
Provide updates to the Finance Team of any complaints and internal incidents including final redress.
Assist with providing required information to the Finance Team as part of external audit.
Completion of external due diligence requests
Facilitating the leavers process for Partners including, where requested, any references.
Deputy MLRO within a small team to ensure AML requirements and checks are met.
Providing cover for the Regulatory Risk Manager during holidays and sickness.
Requirements:
Minimum Level 4 qualified (financial planning)
A good understanding of regulation from previous roles in a compliance function.
Be able to work as a team to tight deadlines, maintain SLA’s in a busy environment.
Salary:
up to £50,000 (plus bonus & benefits)
Location:
SW London (2 days in the office per week)