Compliance Officer - Wealth Management / Securities Trading
Sun Global Investments Limited is an idea-centric wealth and investment management firm for Professional Investors, covering emerging and developed markets. Active in Wealth Management, Investment Advisory, Securities Trading and Corporate Finance.
- Accountable to the FCA for the delivery of the firm’s regulatory compliance and financial crime obligations by holding the Senior Manager Function SMF16 Compliance Oversight.
- File compliance regulatory and company returns within set deadlines
- Validate and approve KYC documentation relating to account opening and payments
- Development of an appropriate, risk based, compliance framework
- Provide timely, accurate, and relevant regulatory advice to the business
- Responsible for the firm’s compliance with the FCA’s rules on systems and controls, CASS Oversight
- Providing administrative support to the outsourced internal audit service, arranging management responses and monitoring follow-up and remedial action
- Maintain and execute the Compliance Monitoring Program to include periodic tests of the effectiveness of firm policies
- Providing compliance training for all staff and management
- Serve as the firm’s key point of contact with the FCA including all authorisation and breach reporting matters
- Undertaking ad-hoc projects as required.
- Experienced as a SMF16/SMF17
- Experience on the Wealth Management/ Securities Trading
- Good knowledge of FCA and any other applicable rules relating to Financial services
- Extensive executive leadership skills, strategic skills and long-standing senior management experience
- Strong corporate governance skills
- High level interpersonal and persuasion skills, including the ability to work within a team