Compliance Manager – Wealth Management

£50K-£65K + Benefits
28 Jan 2019
27 Feb 2019
Contract Type
Full Time

A niche Wealth Management firm based in London are looking for a Compliance Manager to join their continually growing business. An excellent opportunity for an individual looking to make that next step in their career within a friendly, family feel, working environment.

Main Responsibilities:

  • Provide advice, support, training and guidance to the business, with a particular focus on conduct risk and mitigating financial crime risk
  • Monitor regulatory developments and review relevant regulatory papers to determine their impact on the business.
  • Escalate any regulatory risks to the Head of Compliance/MLRO or others within the business as appropriate
  • Undertake regulatory due diligence on third parties, if required
  • Make, assist with or supervise the submission of, reports to the Regulator
  • Ad hoc project work

Job Requirements:

  • At least 3 years compliance experience working within a similar Wealth Management business.
  • Strong Financial Crime experience
  • Previous experience of Pensions Advice and Collective Investment Schemes preferable.
  • Good communicator, comfortable dealing with all levels of staff.

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