• Job Description

  Req#: JR4100

  LGT is the largest Private Banking and Asset Management group in the world to be owned by an entrepreneurial family. As the family office of the Princely House of Liechtenstein, we have years of experience in the management of sizeable sums of assets.

  Job Description

  Brief Role Objective:

  Senior member of the Compliance Monitoring Team managing junior colleagues and responsible to plan, devise, set and execute the monitoring required as part of the Firm’s Compliance Monitoring Programme (“CMP”), in an accurate and timely manner.

  Key Responsibilities:

  • Leadership role within the Compliance Monitoring team and helping ensure all responsibilities and tasks are performed to the required standard.
  • To manage, lead by example, guide and motivate junior members of team in their roles of executing test scripts as per the CMP.
  • Devise and plan the Firm's CMP on an annual basis including the updating of associated risk assessments. This is to be reviewed and approved by the Compliance and Risk Committee (“CRC”).
  • To develop and evolve the CMP over time in line with changes within the business, changes in client volumes, changes to staff levels and taking into account new and emerging risks within the business and wider industry.
  • To improve the efficiency of testing with increased and intelligent use of data and, where appropriate, automated testing.
  • To design test scripts for the relevant CMP items taking into account, but not limited to, FCA, JFSC, SEC and group requirements. Test scripts should take into account the obligations which apply to the Firm and assess them against the different business areas and operational structures of the Firm and be risk ranked taking into account matters such as regulatory focus, results of previous monitoring exercises, changes to internal systems, new businesses, staff turnover or customer complaints.
  • To produce all reporting from the CMP including but not limited to the CRC, LGTUS ORCC, LGTJ Board and LGT Group.Responsibility for ensuring the team is logging all outstanding findings/recommendations and escalate matters not dealt with in a timely manner.

  Requirements

  Technical Requirements:

  • Good understanding of the wealth management business gained through similar roles at other firms.
  • Good knowledge of the FCA Handbook, in particular CASS and COBS.
  • Ability to keep up to date with and analyse and interpret relevant regulatory requirements and developments and where appropriate link those developments to the CMP.
  • Industry or professional Compliance qualification desirable.

  Other skills, competencies and attributes:

  • Motivated and conscientious with strong interpersonal skills.
  • Ability to manage, motivate, guide and develop those under management.
  • Excellent organisational skills, including the ability to prioritise and meet deadlines.
  • The ability to produce well structured accurate (in terms of technical knowledge, grammar and spelling) written communications.
  • Ability to question politely but firmly to obtain accurate answers to questions asked as part of any testing undertaken.
  • The ability to work both independently but as part of a team, both in terms of the LRC Team and with other colleagues throughout the Firm.
  • Team player who supports other members of the wider Legal and Compliance team.

  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

  Alex Johnson

• About the company

  LGT is the largest Private Banking and Asset Management group in the world that is wholly owned by an entrepreneurial family.

Notice