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Job Specification

DEPUTY HEAD OF COMPLIANCE – ASSET MANAGEMENT OR WEALTH MANAGEMENT AND MIFID 2 KNOWLEDGE REQUIRED

Circa £100K + Bonus + Bens | West End
Ref: 3356G

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

 
 

Our client, a Private Wealth Manager, is looking to recruit an experienced Deputy Head of Compliance where you will assist with running a small team and overseeing all day-to-day compliance matters.  Reporting directly to the Head of Legal & Compliance you will be tasked with the following:

  • Managing the compliance teams daily work load and oversight of all compliance administration and monitoring carried out by the team.
  • Advise the business on all compliance related matters and ensure that all material issues are escalated and reported in accordance with compliance protocol.
  • Deputise for the Head of Legal & Compliance when required and represent Compliance at Committee meetings in their absence
  • Overseeing a complete review and update of the entire Compliance Manual following MiFID II and PRIIPs as well as other regulatory changes such as SMCR
  • Maintain an understanding of the regulations and new business rules that are being introduced and become comfortable with the detail and help communicate the nature of these changes to all relevant functions of the business.
  • Assistance with preparation of all periodic committee and board reports and attend such meeting as required.
  • Liaise with relevant external bodies such as industry bodies and the regulator.

The successful candidate will be of graduate calibre and must have a broad knowledge and understanding of the legal and regulatory framework as it relates to Wealth and Investment Management. While previous experience in Wealth and/or Asset Management is required as important will be your knowledge of the MiFID II requirements and more broadly your overall knowledge of the FCA rules.

 

This is an excellent opportunity to join a very well established and highly regarded Wealth Management business in a very visible and responsible role.  Should you feel you have the experience and above average communication and technical skills to be success in this role, then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com

Symes Collins – Part of the Compliance Recruitment Solutions Group

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