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Compliance Officer - Wealth Management - London
Location:
London
Description:
Compliance Officer - UKFull Time Location: London A Compliance Officer is required by a prestigious financial wealth management firm to play a crucial role in ensuring compliance with regulatory standards and industry best practices within the UAE. This individual will collaborate closely with the firm's senior management, financial advisors, and various key stakeholders to foster a culture of compliance and integrity across the organization. The responsibilities of this position include the development, implementation, and oversight of compliance programs, as well as delivering regulatory guidance and training to staff. Responsibilities: - Develop and enforce comprehensive compliance policies, procedures, and controls tailored to wealth management, aligned with UAE's legal, regulatory, and industry standards. - Perform routine compliance risk backssments and audits, identifying and mitigating potential non-compliance issues. - Stay updated on regulatory changes and industry trends, ensuring the firm's compliance framework remains current and effective. - Offer regulatory guidance and training to staff, focusing on anti-money laundering (AML), know your customer (KYC), and suitability protocols. - Ensure client onboarding processes comply with KYC and AML regulations, conducting thorough due diligence as required. - Manage the process for identifying and reporting suspicious transactions in line with AML/CFT regulations. - Work collaboratively with legal, risk management, and operations teams to resolve compliance issues, respond to regulatory inquiries, and implement necessary corrective measures. - Act as the main contact for regulatory examinations, audits, and inquiries, facilitating prompt and accurate communication. - Maintain comprehensive records of compliance activities, including audits, training, and regulatory correspondence, ensuring accuracy and completeness. - Keep abreast of regulatory developments, industry best practices,. Visit ListedBuy for more information.
Company:
Independent Resourcing Consultancy
Posted:
March 27 on ListedBuy
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More About this Listing: Compliance Officer - Wealth Management - London
Compliance Officer - Wealth Management - London is a Executive Compliance Officer Job at Independent Resourcing Consultancy located in United States. Find other listings like Compliance Officer - Wealth Management - London by searching Oodle for Executive Compliance Officer Jobs.
Compliance Officer - Wealth Management - London is a Executive Compliance Officer Job at Independent Resourcing Consultancy located in United States. Find other listings like Compliance Officer - Wealth Management - London by searching Oodle for Executive Compliance Officer Jobs.