Assistant Compliance Officer

Lgtwm; Greater London; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

LGT Wealth Management UK LLP, part of the LGT group, seeks an experienced Regulatory Compliance professional to monitor regulatory developments and advise on FCA rules across its London HQ and regional offices.

You will lead horizon scanning, prepare regulatory communications for Senior Management, and support initiatives to ensure ongoing compliance with regulatory and legislative requirements.

Qualifications

• Minimum 2 years in Wealth Management compliance.
• Strong knowledge of FCA rules, particularly CO BS (COBS).
• Excellent written and verbal communication skills.

Responsibilities

• Undertake regular horizon scanning to identify regulatory changes impacting LGT WM and the wealth management sector.
• Develop an understanding of the Firm’s proposition and assist in applying regulatory changes to the business.
• Assist in writing regulatory communications to stakeholders across the business, including Senior Management.
• Support the implementation of regulatory developments within the Compliance department and wider business.
• Develop and maintain ongoing management information for the Management Board.
• Undertake routine compliance monitoring and daily tasks, supporting projects to ensure regulatory and legislative compliance.

Skills

Wealth Management

Regulatory Compliance

FCA CO BS Knowledge

Regulatory Communications

Analytical Skills

Team Player

Tools

Corlytics

Microsoft Office

Job description

LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. When we set up LGT Wealth Management in 2008, our aim was to offer a fresh approach to wealth management. Alongside the LLP we also have two other entities which focus on US and Jersey based clients. Our head office is based in London however we have a presence in Edinburgh, Jersey, Leeds, Birmingham and Bristol. The plan was simple: put our clients first by providing a transparent service, designed around what is right for each of them. By drawing together in-depth knowledge and experience from across the industry, we provide a flexible, bespoke service adapted to each of our clients’ needs.
Our mission is to create long-term value for all stakeholders. Our culture encourages individuals to generate, develop and implement ideas which will strengthen our business. Belonging, respect, integrity, conviction and entrepreneurship are our core values. As our brand recognition grows, we are fast becoming an employer of choice in our sector. We have over £29 billion in funds under management and circa 700 staff.

Key Responsibilities

• Undertake regular horizon scanning to identify new regulation and regulatory changes which will impact LGT WM and the wealth management sector.
• Develop a strong understanding of the Firm’s propostion (locally and across entities) and use this knowledge to analyse and assist in applying regulatory change to the Business.
• Assist in writing regulatory communications to stakeholders across the business, including to Senior Management.
• Toassistwith the implementation of any regulatory developments whichimpactthe Compliance department and wider business
• Develop and maintain ongoing management information for the Management Board.
• Undertake regular compliance monitoring to assist the Monitoring team with the CMP.
• Undertake daily routine tasks, as appropriate.
• Support projects ensuring compliance with regulatory and legislative requirements.

Your profile

Key Skills and Technical Requirements

• Good understanding of Wealth Management/Private Banking business gained through a minimum of 2 years years of relevant experience. Candidates with more or less experience may be considered provided they are able to demonstrate the requisite skills and knowledge.
• Demonstrable knowledge of the various investment offerings and products.
• Good knowledge and practical experience of FCA rules particularly COBS is essential.
• Experience in interpreting and understanding regulations and regulatory communications.
• Excellent written and verbal communication skills

Other Skills and Attributes

• Strong organisational skills including the ability to prioritise and meet critical deadlines.
• Excellent verbal and written communication skills.
• A team player but also able to work independently.
• Professional and keeps calm under pressure.

IT

• Corlytics (regulatory tracking tool)
• Proficiency in Microsoft Office.

Discover more about LGT Wealth Management

Employee Value Proposition

A place for people from all walks of life: our unique culture and values are what make our company stand out from other firms.

At LGT, we offer more than investment expertise - we bring a legacy of trust and long-term thinking shaped by the values of the Princely Family of Liechtenstein. Discover the people and principles behind our client-first approach.

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