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Compliance Manager | Wealth Management
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Broad Compliance Oversight Role
Focused on conducting compliance monitoring reviews, assessing regulatory risks, providing advisory support to the business, and ensuring adherence to FCA requirements across wealth management activities, with clear opportunities for professional growth, increased responsibility, and long-term career development within a collaborative environment.
Client Details
A leading international wealth and asset management business providing private banking, asset management, and financial planning services to individuals, families, and institutional clients. The firm has a long-standing reputation for prudent risk management, client service excellence, and strong regulatory standards.
Description
- Provide regulatory guidance and compliance support to key business stakeholders across investment and wealth management activities.
- Delivery of risk-based compliance reviews, thematic assessments, and control testing across various business areas.
- Monitor regulatory developments and help assess the impact of changing requirements on policies, procedures, and business practices.
- Support senior compliance colleagues with compliance risk assessments, governance matters, and ongoing regulatory initiatives.
- Build strong relationships with stakeholders to promote a proactive and commercially focused approach to compliance.
- Contribute to wider compliance projects, training initiatives, and continuous improvement of the firm's compliance framework.
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- 6+ years' compliance monitoring, oversight, or advisory experience within wealth management or financial advice.
- Strong knowledge of FCA regulations, including COBS, Consumer Duty, SMCR, and conduct risk frameworks; experience with FCA advice assessment methodologies is advantageous.
- Self-motivated and proactive, with the ability to take ownership, work independently, collaborate effectively with colleagues, and support the development of junior team members.
- Investment Advice / Financial Planning qualification essential (CISI, CII, etc.)
Job Offer
- Salary ranging from £80,000 to £100,000, dependent on the level of experience.
- Comprehensive pension scheme.
- Private healthcare benefits.
- Flexible work arrangements.
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