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Senior Compliance Manager – Central Compliance (Wealth)

  • Location: London
  • Salary: £90,000 + Benefits per year
  • Job Type:Permanent

Posted 20 days ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Expiry Date: 31 December 2021
  • Job Ref: EM/18297

Job Description:To support the Compliance Director in maintaining and delivering effective management and monitoring of all aspects of Central Compliance systems, controls, and processes to safeguard the interests of customers, advisers and the firms within the Group to meet the expectations of the firm and the Financial

Key responsibilities include:


  • Oversee the central Compliance team

  • Coordinate and produce monthly compliance reporting.

  • Deal with client’s complaints in line with the firm’s complaint handling procedures. Ability to liaise with complainants and 3rd parties to obtain suitable outcomes.

  • Have an effective working relationship with the insurance brokers and FOS

  • Maintain the firms Complaints Register.

  • Manage the firm’s errors and omission process.

  • Maintain and manage the recruitment, appointment, and ongoing certification of advisers under the Senior Management & Certification Regime, including monitoring of fit and proper obligations and financial monitoring.

  • Work closely with Marketing and the Business to ensure that all financial promotions are approved as being compliant in a timely manner.

  • Contribute and maintain the Business Practices Manual and company directives.

  • To assist the Compliance Director in producing regulatory and other returns as required from time to time.

  • Manage the firm’s data protection requirements including DPIAs, IAR, completing DSAR and reporting.

  • Undertake ad-hoc activities as requested to support the business and the wider Compliance team


The Person:


  • Must have previous central compliance (complaints/fin proms) experience working within the Wealth Management space.

  • Ability to direct/oversee a small team

  • Minimum Level 4 qualified or equivalent