Compliance Officer
Location United States
Posted Date October 20, 2023
Company Email [email protected]
Company Website https://www.taylorroot.com/
Job type Full Time
Package (per year) 110000.00 - 130000.00
Application Last Date November 16, 2023

Are you a dedicated and experienced Compliance Officer looking to take your career to the next level? If so, we have an exciting opportunity for you to join our esteemed wealth management client in London. We are searching for a highly motivated and knowledgeable Compliance Officer to be an integral part of our team, working in a hybrid environment.

Position Overview:

As a Compliance Officer, you will play a pivotal role in ensuring our wealth management operations adhere to all compliance policies and procedures. You will be responsible for overseeing various financial instruments, including equities, bonds, and private equity, making this an excellent opportunity for professionals with expertise in these areas. Your keen understanding of the Conduct of Business (COBs) rules will be highly advantageous, as we seek a candidate with a deep background in wealth and investment management.

Key Responsibilities:

  • - Compliance Oversight: Monitor, assess, and enforce compliance with industry regulations and internal policies, ensuring that our wealth management activities are in full accordance with established standards.
  • - Policy and Procedure Review: Regularly review and update compliance policies and procedures related to equities, bonds, private equity, and other financial instruments.
  • - Risk Assessment: Conduct thorough risk assessments and evaluations to identify potential compliance risks, providing recommendations and solutions to mitigate these risks.
  • - Advisory Role: Offer expert advice to internal teams and stakeholders regarding compliance issues, helping to navigate complex regulatory requirements.
  • - Training and Education: Develop and implement training programs to enhance the awareness and understanding of compliance requirements among employees.
  • - Reporting: Prepare detailed reports on compliance activities and findings, and communicate these findings to management and relevant teams.

 

Qualifications and Requirements:

  • - A solid background in compliance roles, particularly in the context of wealth and investment management.
  • - A profound understanding of the Conduct of Business (COBs) rules and related regulatory frameworks.
  • - Strong analytical and problem-solving skills.
  • - Excellent communication and interpersonal abilities.
  • - The ability to adapt to a dynamic working environment and provide effective solutions.
  • - A proactive and results-driven approach to compliance matters.

 

How to Apply:

If you are a qualified Compliance Officer with a passion for maintaining the highest standards of compliance in wealth management, we encourage you to apply. To be considered for this exciting opportunity, please submit your application through our website. We look forward to reviewing your credentials and discussing your potential future with our team.

About Taylor Root:

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Join our wealth management team in London and be part of an organization that values compliance, integrity, and expertise. We are committed to providing a dynamic and supportive work environment for our team members, along with competitive compensation and numerous opportunities for professional growth. If you're ready to make a significant impact in the world of wealth management compliance, apply today.

Don't miss out on this chance to advance your career as a Compliance Officer and work with a prestigious wealth management client in the heart of London. Apply now, and let your expertise shine in a role that truly matters.