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Job Specification

Compliance Manager – Private Wealth Management Experience Required

£75K + Bens    | West End
Ref: 3364J2

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

We are recruiting for a Wealth Management firm, looking for an Compliance Manager to join their small team. In an interesting and varied role, duties will include;
• Provide general regulatory guidance and advisory services to certain internal business areas including Investment Managers, Wealth Planning & Business Development.
• Support projects ensuring compliance with regulatory and legislative requirements including expanding overseas (and visiting when required)
• Respond to ad-hoc queries and new business initiatives to enable line managers to meet their regulatory requirements
• Identify general regulatory and compliance risk issues including the review and assessment of FCA (and possibly SEC too) regulatory updates/change in legislation.
• Assist with the development and implementation of Compliance and AML procedures
The ideal candidate should have at least four years compliance experience with a strong understanding of Wealth Management/Private Banking businesses whether gained from a similar in-house role or a consultancy. Candidates must have a good academic record ideally with a legal degree or equivalent.
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

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