£70,000 - £80,000
about 1 year ago
Our client is a well-regarded, fast growing and entrepreneurial financial services organisation who provides private banking, wealth management and financial planning from their various offices across the UK. An newly created role has arisen for a Compliance Manager to support in advising the business across new regulatory initiatives and promoting a strong compliance culture, ensuring that regulatory and conduct risk is managed effectively.
- Working closely with the Head of Compliance, the project management team and other team stakeholders as needed, you will be responsible for:
- Acting as the compliance support in relation to the Investment management, banking and fund management business.
- Undertaking and coordinating review and dissemination of new regulations in order to convey change requirements necessary in the business
- Supporting training initiatives for the Company as a whole, working with HR and others to develop a compliant, business-oriented culture.
- Undertaking thematic and specialist reviews across the business in respect of specific regulatory topics and issues as they arise when necessary.
- Assisting in the identification of gap analysis and implementation of relevant regulatory measures and industry guidance pertaining to the regulated activities of the Company.
- Developing own professional expertise through on the job training, formal training and, where appropriate professional qualifications
- Supervising, guiding and supporting junior members of the team to build their knowledge and confidence in delivering their objectives
- Broad Compliance advisory experience gained within a Private Banking or Wealth Management business
- Policy / Advisory / Monitoring or Audit background
- Strong stakeholder management experience
- Team management experience
- Strong communication skills – written and verbal