Assistant Compliance Officer - 12 Month FTC

LGT Group; Greater London; Sur place; GBP 42 000 - 62 000; Plein temps

Résumé du poste

LGT Wealth Management UK LLP, headquartered in London with a presence across the UK, seeks an experienced Compliance professional to monitor regulatory developments and translate them into actionable process improvements. You will collaborate with Senior Management and cross‑functional teams to ensure regulatory alignment, while maintaining high standards of accuracy and governance.

Ideal candidates bring wealth management experience, familiarity with FCA rules (COBS), and strong communication

Qualifications

• Requires knowledge of wealth management and private banking products.
• Understanding of FCA rules (COBS) and regulatory communications.
• Experience interpreting regulations and applying changes to business processes.
• Strong written and verbal communication skills are essential.

Responsabilités

• Undertake horizon scanning for regulatory changes impacting LGT WM.
• Analyse Firm proposition and apply regulatory changes to the business.
• Assist in writing regulatory communications to stakeholders, including Senior Management.
• Support implementation of regulatory developments in Compliance and wider business.
• Develop and maintain management information for the Management Board.
• Perform regular compliance monitoring with the Monitoring team.
• Handle daily routine tasks and support projects ensuring regulatory compliance.

Connaissances

Wealth management experience

Investment product knowledge

COBS FCA rules knowledge

Regulatory interpretation

Written and verbal communication

Compliance qualification desirable

Formation

Industry or professional Compliance qualification desirable

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.
• To assist with the implementation of any regulatory developments which impact the 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