Compliance Manager – Private Bank

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  • Salary:

    £70,000 - £80,000

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  • Published:

    almost 2 years ago

Our Client
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. 
The Role:
  • 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
Key Requirements:
  • 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