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Compliance Officer - Wealth Management / Securities Trading

Sun Global Investments Limited London, United Kingdom
Posted 16 days ago Permanent Competitive

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

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