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Job Specification

Compliance Advisory Manager – Wealth Management Experience Required

£60K - £70K + Benefits   | London
Ref: 3416J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our client, a successful boutique wealth manager and part of a larger global banking Group, is looking to recruit a Compliance Manager.  Duties will include;
 
• Responsibility within the Compliance function for the provision of advice, support and training and guidance to the business.
• Formulating solutions for the business, which ensures regulatory compliance in a pragmatic, business friendly manager
• Ensure an effective Compliance culture within the business
• Review regulatory papers to determine their relevance and impact on the business and implement, or assist in and advise on the implementation of any changes required, focussing on FCA guidance
• Escalate any regulatory risks to the Head of Compliance or others appropriately
• Working with the Monitoring Manager and assist in addressing actions arising from monitoring action plans
 
You should have advisory experience from Wealth Management although other advisory experience may be considered. 
 
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com
 

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