Compliance Officer

• Company

  Hanover Search Group

• Location

  UK-London

• Remuneration

  Excellent Package

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  08-Nov-2013

• eFC Ref no

  1299213

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*Great opportunity for a Compliance Officer based in London*

Primary Purpose of Role:
Responsible for advising on any regulations which impact on the following business areas: ultra high net worth clients, derivatives, foreign exchange and private investments.
Behaviours, Actions and Responsibilities:
Role

• Provide compliance advice and assist in setting up a robust compliance infrastructure including developing policies and procedures, providing advice, giving training, devising a monitoring programme for the following business areas: ultra high net worth clients, derivatives, foreign exchange and private investments.

• Assist in providing advice on AML/CTF and client on-boarding issues in relation to on-boarding of accounts
• Provide advice and assistance to our legal counsel on cross border conduct of business rules such as customer solicitation, provision of investment services/products in other jurisdictions.

In addition as part of the wider compliance team provide assist with approval of marketing materials, gifts and entertainments and PA dealing approvals.

Self Development & Professionalism

• A professional who continually strives to improve their regulatory and business knowledge.
• Motivated, conscientious and diligent. 

Team

• Ability to work both independently but as part of a team, both in terms of the Legal, Compliance and Firmwide Risk Team and with other colleagues throughout the Firm

Core Competencies

• A professional individual with strong organisational skills including the ability to prioritize and meet critical deadlines.
• Ability to confidently deliver practical compliance advice in an often time sensitive and pressurised manner.
• Professional with good verbal and written communication skills.
• Ability to analyse and interpret relevant regulatory requirements, both in the UK and cross border.
• Experience of working with either a family office or had significant exposure to derivatives, private equity, ultra high net worth clients
• 5-7 year+ experience.
• Proficient level of Excel skills
• Proficient level of Powerpoint skills
• Proficient level of Word Skills

Interested applicants should contact Patrick Field at patrick.field@hanoversearch.com or call 0207 248 2244.

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