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

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).

Requirements

• 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

Benefits

• 401k Matching
• Generous Paid Time Off
• Relocation Assistance
• Retirement Plan