Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London
- Provide advice to the business on live queries and/or transactions
- Conducting trading and suitability surveillance
- Providing Compliance input in product design and approvals
- Development and implementation of compliance-related policies and procedures
- Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
- Managing compliance-led projects and representing PWM Divisional Compliance on Firmwide and cross regional projects and working groups
- Impact analysis and implementation of regulatory changes affecting the PWM business
- Develop and deliver training for business personnel
- Provide Compliance representation in Divisional Committees, such as Order Execution Review Committee
- Conduct programmatic reviews such as thematic reviews for Best Execution monitoring and other ad hoc compliance forensics
- University degree and/or professional compliance / financial services qualification
- 5+ years’ compliance or other relevant financial services experience. Private wealth management / retail client experience preferred.
- Strong product knowledge and trading strategies used by PWM, e.g. structured products, OTC derivatives
- Detailed Knowledge of local regulatory environment
- Any knowledge of other European or international regulatory regimes an advantage
- Experience of conducting trade surveillance or equivalent monitoring activity
- Good interpersonal skills and effective written/oral communication skills.
- Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
- Attention to detail
- Ability to handle multiple tasks and work under pressure
- Team player
- As a minimum, good proficiency in Microsoft Excel, Power Point and Word
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