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PWM Regulatory Developments Manager – Relevant Experience From Investment Management and/or Life and Pensions Required

£50K - £60K + Bonus & Benefits | City
Ref: 3423R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Anti Money Laundering (inc CDD/KYC) / Permanent

 
 
Our client, a leading Private Wealth Management Firm, is looking to recruit a Regulatory Developments Manager. Duties will include:
 
• Operate an effective process for regulatory development tracking and assessment
• Conduct Initial assessments on regulatory developments to determine whether or not they will affect the UK businesses
• Produce high-level, tailored written summaries of regulatory developments to the businesses
• Documenting the initial impact assessment and sharing these with the relevant Advisory Compliance teams and other business areas as necessary
• Co-ordinate and assist with the implementation of group-wide regulatory changes
• Take an active role in the production and delivery of a group wide policy framework including the drafting and implementation of policies e.g. personal account dealing, gifts and hospitality, conflicts of interest. 
• Assisting with complex FCA/PRA approved person applications and some financial promotion sign offs
 
You should have previous experience assessing and implementing regulatory developments and managing these to implementation (whether gained in PWM, Investment Management and/or Life and Pensions). This may have been in a similar stand alone role or as part of a broader in house role or else from a consultancy or law firm. 
 
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at dcrook@compliancerecruitment.com  
 

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