Regulatory Compliance Assistant – Wealth Management

LGT Wealth Management UK; Greater London; In loco; GBP 60.000 - 80.000; Tempo pieno

Descrizione del lavoro

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

Competenze

• 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.

Mansioni

• 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.

Conoscenze

Wealth management / private banking

Investment offerings knowledge

FCA rules / compliance

Regulatory communications

Written & verbal communication

Formazione

Industry or professional compliance qualification

Strumenti

Corlytics

Microsoft Office

Descrizione del lavoro

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