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Compliance Manager - Wealth Management & Investments

  • Location: Manchester
  • Salary: £40,000 - £50,000 pa per year
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Michael Ayres
  • Expiry Date: 21 January 2022
  • Job Ref: MA/18431

Global consulting firm who specialise in assisting firms in the development of their governance, risk and compliance arrangements are looking to expand their Regional Risk and Regulatory Team due to an increase in demand from clients across the Wealth and Investment sectors.

The position will provide the opportunity to work on exciting risk and regulatory projects with a wide variety of financial services clients across the Wealth and Investment sector. The firm are also committed to retaining and developing people and are prepared to invest in an individual's development through a combination of professional qualifications, mentoring, and industry leading in house training.

Key Responsibilities:

Assist in the provision of a range of different service offerings provided by the Risk and Regulatory Group, which may include:

• Delivering high-quality output, advice and assurance to the firm’s clients on a variety of engagements and in line with the agreed deliverables.

• Supporting the firm’s clients in implementing enhancements to its Regulatory and Compliance arrangements (including Conduct Risk) taking into account current regulatory requirements and expectations.

• Maintaining, developing and sharing knowledge to ensure high quality delivery to clients

• Managing the Firm’s risk exposure at all times through adherence to our quality and risk management practices when engaged on client work

• Developing and maintaining productive relationships with key stakeholders

• Identifying opportunities across existing and new clients and managing these accordingly

Key Requirements:

• Knowledge of UK regulation and some experience of providing regulatory and compliance assurance services is preferable.

• Experience of developing, implementing and reviewing Compliance and Conduct Risk policies, processes and procedures.

• Experience of working within the UK Financial Services industry

• Knowledge of governance practices and requirements

• Ability to develop strong relationships.

• Degree level education

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