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Compliance Manager – Wealth Manager

  • Location: London, United Kingdom
  • Salary: £60,000 - £65,000 per year
  • Job Type:Permanent

Posted 10 months ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Expiry Date: 20 July 2021
  • Job Ref: EM/16895


Our client is a boutique Wealth Manager and they are currently looking to recruit a new Compliance Manager.

This is an excellent opportunity to join a reputable firm which was set up in 2013 and continues to enjoy year on year growth. They are looking for someone who has a strong track record of managing Regulatory requirements within a Wealth environment and is excited to be a part of their growth plan.

The objective of this role is to manage regulatory requirements, identify and manage business risks and the

implementation of compliance ‘best practice’.

Key responsibilities:

  • Producing an annual compliance report
  • Making all appropriate notifications to regulators
  • Managing Approved Persons Controlled Functions including: commencement, withdrawal and amendments
  • Communicating compliance developments that have a direct impact on the Financial Planning team.
  • Managing relationships with Discretionary Fund Managers and relevant third parties.
  • Managing projects to implement updates to business procedures impacted by regulatory change
  • Adopting a risk-based approach to compliance monitoring
  • Undertaking member file reviews to review adherence to company advice procedures.
  • Reviewing any complaints against the business in accordance with complaints handling procedures
  • Submitting complaints notifications accurately to the regulators.
  • Approving financial promotions in accordance with the regulators’ rules;
  • Updating and maintaining the Training and Competence Procedures of the business.
  • Producing an annual Money Laundering Report
  • Perform routine file checks to ensure Money Laundering requirements have been met;

Ideal Candidate:

  • Relevant generalist Compliance experience gained within a Wealth, Financial Planning or Advisory business
  • Knowledge of FCA Handbook and Rules
  • Excellent verbal and written skills
  • Strong attention to detail and inquisitive nature;
  • Strong interpersonal skills – engagement with a variety of stakeholders across the business
  • Strong oral and written communication
  • Maintaining Continuous Professional Development to meet personal development needs;
  • Promoting the profile of the company within our profession and with trusted partners; and

Demonstrating behaviours which set the culture of the company