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Compliance & Fin Crime Manager – Wealth/Investment Management Experience

£ 60000 - £ 70000 | West End
Ref: 3589G

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


£60K - £70K + Benefits                                                                                                  West End

Our client, boutique wealth manager and part of a larger global banking Group, is looking to recruit a Compliance Manager.  Reporting the Deputy Head of Compliance, you will be responsible for conduct risk as well financial crime compliance, duties will include;

  • Provide advice and guidance to the business on regulatory matters with a particular focus on conduct risk and mitigating financial crime risk.
  • Formulating solutions for the business, which ensure regulatory compliance in a pragmatic, business friendly manner
  • Ensure an effective Compliance culture within the business, through proactive advice, communication and training.
  • Review FCA guidance and regulatory papers to determine their relevance and impact on the business ensuring senior management are kept up-to-date and any changes are implemented as required
  • Escalate any regulatory risks to the Head of Compliance & MLRO or others as appropriate
  • Working with the Monitoring Manager and assisting in addressing actions arising from monitoring action plans

You should have gained at least 4 years compliance and AML/Financial Crime experience with a Wealth Manager, Retail Investment Manager or compliance consultancy.  While you will need to demonstrate knowledge of regulatory process and requirements within the wealth/investment management sector as important will be your thorough understanding of conduct risk principles & processes as well as financial crime risk management controls.

This is an excellent opportunity to advance your compliance career with one of the fastest growing wealth management business in the UK and to work with and learn from some of the most experienced compliance & financial crime and risk professionals in the city.  If you are an ambitious and feel you have the aptitude and desire to work for a market leading business in an exciting and challenge role, then please call Gary Collins on 020 7 330 6960 or send your details to him at

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