Assistant Compliance Officer - 12 Month FTC

LGT Crestone Wealth Management Limited; Greater London; Sur place; GBP 55 000 - 75 000; Plein temps

Résumé du poste

LGT Wealth Management UK LLP is a UK-based partnership with a London head office and offices across the UK. The role focuses on horizon scanning for regulatory changes, analysing regulatory impact on the business, and contributing to regulatory communications and CMP monitoring.

Ideal candidates have 2+ years in wealth management with FCA CO BS knowledge, strong communication skills, and an industry compliance qualification. The role supports project work within Compliance and the wider business.

Qualifications

• Minimum 2 years in Wealth Management/Private Banking with regulatory exposure.
• Knowledge of investment offerings and FCA rules (COBS) is essential.
• Ability to interpret regulations and regulatory communications.
• Strong written and verbal communication skills.
• Industry or professional compliance qualification is desirable.

Responsabilités

• Conduct horizon scanning to identify regulatory changes impacting the Firm and wealth management sector.
• Analyse firm proposition and apply regulatory changes across entities.
• Assist in writing regulatory communications to stakeholders including Senior Management.
• Support implementation of regulatory developments within Compliance and wider business.
• Develop and maintain management information for the Management Board.
• Undertake regular compliance monitoring with the CMP team.
• Perform daily routine tasks and support projects ensuring regulatory compliance.

Connaissances

Regulatory horizon scanning

Regulatory communications

FCA rules (COBS)

Wealth Management knowledge

Teamwork and independence

Formation

Compliance qualification

Outils

Corlytics

Microsoft Office

Description du poste

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, Bristol and Manchester. 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 £30 billion in funds under management and circa 700 staff.

Job Description

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.

Requirements

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
• Industry or professional Compliance qualification desirable.

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.

Contact Information

LGT Wealth Management UK LLP

Human Resources

Nicola Swatton