Assistant Compliance Officer - 12 Month FTC

LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. When we set up LGT Wealth Management in 2008, our aim was to offer a fresh approach to wealth management. Alongside the LLP we also have two other entities which focus on US and Jersey based clients. Our head office is based in London however we have a presence in Edinburgh, Jersey, Leeds, Birmingham, Bristol and Manchester. The plan was simple: put our clients first by providing a transparent service, designed around what is right for each of them. By drawing together in-depth knowledge and experience from across the industry, we provide a flexible, bespoke service adapted to each of our clients’ needs.

Our mission is to create long-term value for all stakeholders. Our culture encourages individuals to generate, develop and implement ideas which will strengthen our business.  Belonging, respect, integrity, conviction and entrepreneurship  are our core values.  As our brand recognition grows, we are fast becoming an employer of choice in our sector.  We have over £30 billion in funds under management and circa 700 staff.

Job Description

Key Responsibilities:

• Undertake regular horizon scanning to identify new regulation and regulatory changes which

will impact LGT WM and the wealth management sector.

• Develop a strong understanding of the Firm’s propostion (locally and across entities) and use this

knowledge to analyse and assist in applying regulatory change to the Business.

• Assist in writing regulatory communications to stakeholders across the business, including to Senior

Management.

• To assist with the implementation of any regulatory developments which impact the Compliance

department and wider business

• Develop and maintain ongoing management information for the Management Board.

• Undertake regular compliance monitoring to assist the Monitoring team with the CMP.

• Undertake daily routine tasks, as appropriate.

• Support projects ensuring compliance with regulatory and legislative requirements.

Requirements

Key Skills and Technical Requirements:

• Good understanding of Wealth Management/Private Banking business gained through a minimum

of 2 years years of relevant experience. Candidates with more or less experience may be

considered provided they are able to demonstrate the requisite skills and knowledge.

• Demonstrable knowledge of the various investment offerings and products.

• Good knowledge and practical experience of FCA rules particularly COBS is essential.

• Experience in interpreting and understanding regulations and regulatory communications.

• Excellent written and verbal communication skills

• Industry or professional Compliance qualification desirable.

Other Skills and Attributes:

• Strong organisational skills including the ability to prioritise and meet critical deadlines.

• Excellent verbal and written communication skills.

• A team player but also able to work independently.

• Professional and keeps calm under pressure.

IT:

• Corlytics (regulatory tracking tool)

• Proficiency in Microsoft Office.

Contact Information

We are looking forward to receiving your online application.

For any further information please do not hesitate to contact us.

LGT Wealth Management UK LLP

Human Resources

Nicola Swatton