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Compliance Manager - Wealth Management.
£100-120,000 + Package
Client - A leading International Wealth Manager who provides Wealth and Investment Management Advice to HNW private clients often with complex multi-jurisdictional requirements. They manage over £3 billion in AUM for private clients who have UK & International ties from the London office.
Role - Working with the Head of Compliance the role will have wide ranging responsibilities and duties including -
• Implementing and reviewing company compliance polies to ensure they are complicit with all relevant regulations.
• Review compliance monitoring reports resolving risk issues and design & implement annual compliance monitoring plan.
• Ensure the company complies with AML, Anti Bribery & Corruption, Financial Crime, Treating Customers Fairly, T&C and Vulnerable Clients procedures.
• Ensure the company is acting within the Financial Services & Marketing Act / FCA / FINRA rules at all times.
• Review of the T&C scheme
• Design and present compliance training.
• Provide technical guidance covering AML, KYC policies and regulations.
• Review high risk clients • Approve financial promotions.
• Keep personally and the company up to date with all regulatory and legislative changes.
• Act as a member of the Operations Committee.
• Conduct an annual review of the compliance departments procedures and processes
• Help with the development of junior members of the compliance team, providing them with mentoring and technical knowledge training.
Candidate - The ideal candidate will have significant experience working in a similar role within the financial services sector and have extensive knowledge of UK regulations. Knowledge of International / US regulations would be helpful but not essential. Preferably you will have worked in a strong team-oriented compliance department and will be able to communicate clearly across the team and wider company.
Opportunity - This is a good opportunity to join a growing company who have an excellent reputation within their field. They continue to grow, develop and seek new innovative ideas which provide clients with the best tax, wealth planning and multi-jurisdictional strategies available. This brings interesting and complexities to the compliance department providing a challenging and rewarding working environment.
For more information and a full job description please contact Richard Garbett
