Senior Compliance Advisory Manager – Private Wealth Management (or Discretionary Investment Management) Compliance Experience Required

 

£90K - £115K + V Good Benefits    Hybrid (London)                                                    Ref: 4114G

 

Our client, a wealth & investment manager and part of a larger global banking Group, is looking to recruit a Senior Compliance Advisory Manager to join their collegiate and dynamic compliance team.  Reporting to the Head of Compliance, in this mixed & varied role duties will include;

 

  • Leading the Compliance & Regulatory Advisory Team, with one direct report as well as mentoring other members of the broader Compliance Team.
  • Undertaking regulatory horizon scanning including on data protection, and for ensuring the Head of Compliance is kept abreast of the latest key developments and their likely impact on the business
  • Providing regular updates to the business on current and upcoming regulatory developments to enhance existing understanding and assist the business to operate in a way that is aligned to regulatory expectations and industry best practice including on data protection
  • Responsible for ensuring all actions raised with the business are tracked through to completion, keeping the Head of Compliance abreast of actions progress and escalating overdue actions
  • Responsible for the development, implementation and management of procedures, guidelines and templates, including ensuring they are well maintained, up to date, aligned to our parent company and the appropriate regulatory requirements (as relevant) including on data protection
  • Required to support the Compliance Monitoring Team to ensure the most recent regulatory developments are taken into consideration as part of monitoring reviews including on data protection

You must have a minimum of 8 years' experience of working in a wealth management firm with a good knowledge of a similar product and service offering i.e. wealth planning and advice covering some or all of investment funds, pensions, Offshore Investment Bonds or SIPPs. You must also have  a broad knowledge of the regulations across a range of FCA sourcebooks and some staff supervision  experience.

 

This is an excellent opportunity to advance your compliance career with one of the fastest growing wealth & investment management businesses in the UK and to work with and learn from some of the most experienced wealth management compliance professionals in the city.  Benefits included generous pension, equity share scheme and opportunity to buy more holiday etc.  This role is offered hybrid 3 days in office and 2 days WFT.

 

So,  if you have above average interpersonal skills, able to diplomatically liaise with staff at all levels, are ambitious and feel you have the aptitude and desire to work for a market leading business in an exciting and challenge role, then please send your CV to Gary Collins – gary@symescollins.com (including a contact number & email) however please note that while we try, we cannot always reply to all applications although under no circumstance are your details ever passed on without your specific permission. 

 

Compliance Recruitment Solutions Limited (CRS) and Symes Collins are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge