Assistant Compliance Officer - 12 Month FTC

LGT Wealth Management UK; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

LGT Wealth Management UK LLP is seeking a Compliance professional to support our UK operation from London. The role involves horizon scanning for regulatory changes, interpreting FCA rules (COBS) and applying them to the business, and assisting with regulatory communications to stakeholders including Senior Management.

You will help implement regulatory developments within the Compliance department, develop management information for the Management Board and contribute to ongoing monitoring to

Qualifications

• Minimum 2 years' experience in wealth management/compliance.
• Solid knowledge of FCA rules, particularly COBS.
• Experience interpreting regulations and producing regulatory communications.
• Excellent written and verbal communication skills.
• Industry or professional compliance qualification desirable.

Responsibilities

• Undertake horizon scanning to identify regulatory changes impacting the Firm.
• Analyse the Firm's proposition and apply regulatory changes to the business.
• Assist in writing regulatory communications to stakeholders including Senior Management.
• Assist with implementation of regulatory developments in Compliance and wider business.
• Develop and maintain management information for the Management Board.
• Undertake regular compliance monitoring to support CMP.
• Carry out daily routine tasks as appropriate.
• Support projects ensuring regulatory and legislative compliance.

Skills

Wealth management / private banking

Investment offerings knowledge

FCA rules / compliance

Regulatory communications

Written & verbal communication

Education

Industry or professional compliance qualification

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, 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

We are looking forward to receiving your online application.

For any further information please do not hesitate to contact us.

LGT Wealth Management UK LLP Human Resources Nicola Swatton