Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London

SUMMARY

The Compliance role is based in London and will have a particular focus on capital markets, equity structuring and managed strategies offering (including derivatives, structured products, new issues securities, centrally managed strategies). Responsibilities will include providing product related compliance advice, project management, updating policies, monitoring, thematic compliance reviews, product/trade approvals and post trade surveillances.

OUR IMPACT: 

Market Solutions Group Compliance works closely with the business to deliver to Private Wealth clients a broad array of investment solutions and to customize them to fit client’s needs.

This role will provide product related compliance advice and support to the PWM business. Specific tasks would include conducting compliance surveillance, review of marketing materials and training, product and trade approvals as well as advisory and, to a limited extent, project work.

FUNCTIONAL RESPONSIBILITIES:

• Provide advice to the business on live queries and/or transactions
• Conducting trading and suitability surveillance
• Providing Compliance input in product design and approvals
• Development and implementation of compliance-related policies and procedures 
• Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
• Managing compliance-led projects and representing PWM Divisional Compliance on Firmwide and cross regional projects and working groups
• Impact analysis and implementation of regulatory changes affecting the PWM business
• Develop and deliver training for business personnel 
• Provide Compliance representation in Divisional Committees, such as Order Execution Review Committee
• Conduct programmatic reviews such as thematic reviews for Best Execution monitoring and other ad hoc compliance forensics

SKILLS & EXPERIENCE WE’RE LOOKING FOR

BASIC QUALIFICATIONS

• University degree and/or professional compliance / financial services qualification
• 5+ years’ compliance or other relevant financial services experience. Private wealth management / retail client experience preferred.
• Strong product knowledge and trading strategies used by PWM, e.g.  structured products, OTC derivatives
• Detailed Knowledge of local regulatory environment 
• Any knowledge of other European or international regulatory regimes an advantage
• Experience of conducting trade surveillance or equivalent monitoring activity
• Good interpersonal skills and effective written/oral communication skills.
• Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
• Attention to detail
• Ability to handle multiple tasks and work under pressure 
• Team player
• As a minimum, good proficiency in Microsoft Excel, Power Point and Word