Our client is in search of an experienced
Risk and Compliance Professional to join a Global Private Wealth Management Firm that specializes in delivering customized investment solutions.
The position is within the Global Compliance Department, dedicated to protecting the firm's reputation, managing risks, and aiding in the firm's business development by evaluating suitable engagement with global market opportunities. Global Compliance is organized into divisional and centralized teams that support the Private Wealth Management Business.
Key Responsibilities include:
- Conducting surveillance and monitoring to ensure adherence to regulatory and internal controls
- Evaluating the suitability of financial products and transactions for diverse clients, with strict observance of regulations and internal guidelines
- Engaging daily with Private Wealth Management business, Divisional Compliance, Legal, and Operations teams
- Examining marketing materials utilized in promoting Private Wealth Management products and services to clients
- Guiding Private Wealth Management teams on regulatory matters, policies, and client-related issues
- Contributing to Private Wealth Management and Global Compliance projects and initiatives
Requirements
- A bachelor's degree is required, along with three to five years of relevant experience.
- Applicants should have experience with legal, regulatory, and compliance issues within the financial industry.
- Strong analytical and risk assessment skills are essential, as well as clear verbal and written communication abilities
- Excellent interpersonal skills are also necessary, including being a team player, capable of forging relationships, building consensus, and influencing decisions
Benefits
- A Comprehensive Compensation Package with Additional Benefits
