Compliance Manager – Wealth Management
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.
- 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
- 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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Apply for this role through this job post.