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Job Specification

Exclusive: Vice President Compliance – PWM Compliance Experience Required

£65K – £75K + Benefits + Bonus | City
Ref: 3654R

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


Our client, a leading independent Wealth Management company, are looking to hire a Vice President -Compliance Manager. In an interesting & varied role the main duties are as follows:
• Work with Head of Compliance with reporting to Risk and Compliance committee, Board and FCA.
• Assist Head of Compliance with FCA with thematic reviews/queries
• Conduct regular reviews to ensure FCA rules and regulations continue to be met.
• Maintain Compliance Monitoring Plan
• Manage supervision and implementation of policies and procedures
• Continue development of Risk Management controls across the platform.
• Maintain and develop Key Performance Indicator records relevant to improving Compliance across the platform and reporting serious issues to Management.
• Sit in on key committees and working groups as directed by Head of Compliance and/or Management.
• Handle Client Complaints
• Conduct annual compliance health checks as required
• Deputise on day-to-day matters for Head of Compliance during busy periods and holiday
• Assist management led projects (i.e. due diligence on potential acquisitions, solution focused advisory service to board as required and any requisite integration work).
The ideal candidate should have a minimum of 6 years Compliance experience, some of which must have covered both investment management and financial planning.

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



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