Compliance Monitoring – Investment Suitability – Wealth Management

Overview

A large Wealth & Asset Management business is looking for a Risk & Controls Analyst to join their Front Office focused Risk & Control team. Candidates should have a background in Risk & Controls or Compliance Monitoring. The firm will consider candidates looking to move from 2LOD to 1LOD.

Responsibilities

• Strong knowledge of FCA Suitability requirements within a wealth management business.
• Good monitoring & assurance skills in compliance or risk management.
• Knowledge of Jersey (JFSC) and US (SEC) rules, preferable.
• Excellent communication skills, both written and oral.

Qualifications & Requirements

Additional Information

Unless otherwise stated, candidates must have the right to work in the UK.

Company & Assurance

CLARC Guarantee : CVs will not be sent to clients without prior permission. Due to high volume of applications, not all applicants will be contacted; successful applicants will be contacted for suitable opportunities.

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