CLARC Recruitment
Compliance Manager – Wealth Management
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A wealth & asset management business is seeking to hire a Compliance Manager to join their broader Compliance function.
With a strong focus on Compliance Monitoring, the role will also encompass a range of other Compliance duties.
This role will require 4-days a week in the London office.
Job Requirements
- Deliver the firm’s Compliance Monitoring Programme (CMP), conducting regular reviews, documenting findings, and driving remedial actions with the business.
- Maintain and update compliance policies and controls in line with FCA rules (MiFID II, CASS, MAR, COBS), keeping teams informed of regulatory changes.
- Provide day-to-day compliance advisory support to portfolio managers and operational teams on regulatory queries.
- Support trade surveillance, transaction monitoring, and thematic reviews covering best execution, market abuse, financial crime, and client suitability.
- Assist with client classification, appropriateness assessments, investor disclosures, and preparation of regulatory returns.
- Contribute to compliance reporting for senior management and committees, working closely with finance and operations.
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Unless otherwise stated, candidates must have the right to work in the UK.
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To apply, please submit your application through this job post or email your CV to recruit@clarcrecruitment.com.
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