Assistant Compliance Officer

15h15 hours ago

LGT

London, GB · Full-time · £45,000 – £60,000

About this role

LGT Wealth Management UK LLP is a UK-based partnership wholly owned by the private banking group LGT. The firm manages over £30 billion in assets with around 700 staff across multiple UK locations. The Assistant Compliance Officer role sits within the Regulatory Compliance team.

The position reports to the Senior Compliance Officer and focuses on regulatory developments, ESG topics, cross-border and fund compliance. You will act as a subject matter expert ensuring the firm stays ahead of changes in the regulatory landscape.

Day-to-day activities include horizon scanning for new regulations impacting the wealth management sector and assisting with the Compliance Monitoring Plan. The role involves collaboration with senior stakeholders to influence policy, systems and controls.

This opportunity allows you to shape the position and develop your skillset while working on projects that support business initiatives and maintain regulatory compliance across the firm.

Requirements

Good understanding of Wealth Management/Private Banking business gained through a minimum of 2 years of relevant experience
Knowledge of the Firm’s obligations under the regulatory systems in which it operates
Familiarity with countering the risk the Firm may be used to further financial crime
Ability to provide support to new business initiatives and advise on day-to-day issues

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 proposition 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
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