Compliance Manager


Are you an energetic and tenacious individual with strong interpersonal and communication skills? Do you have experience in compliance monitoring environment? 

Our client, an award winning FTSE 100 Wealth Management company, is seeking a Level 4 Compliance Manager to join it’s Risk and Compliance team. Supporting the Head of Risk and Compliance, you will be responsible for contributing to the compliance culture through the delivery of second line of defence compliance monitoring.

You will:

  • Deliver all required aspects of the Compliance Monitoring Plan on time and to a high standard
  • Monitor, review and follow up the implementation of compliance recommendations agreed with management
  • Carry out thematic monitoring and investigations as required
  • Assist in the provision of compliance training to the first line of defence 
  • Support Compliance staff with project work, staff training, procedural and administration tasks as necessary
  • Assist with developing, maintaining and implementing an effective risk management framework across the company, in line with regulatory requirements

Your skills and qualities:

  • You will have experience of first or second line compliance monitoring activity, preferably in a wealth management and financial advice environment
  • You will have demonstrable experience in monitoring and reviewing wealth management and wealth planning services to retail clients
  • You will have the ability to analyse and communicate regulatory change in first line management
  • You will have the energy and tenacity to promote the role of second line assurance activity
  • You will have good product knowledge, including pensions, collective investment schemes and other investment products
  • You will have detailed regulatory knowledge, in particular PRIN, SYSC and COBS
  • You will have a relevant qualification in financial advice and / or compliance industry qualification (CISI . CII or similar), ideally to Level 6 or equivalent
  • You will preferably have a minimum of three years’ experience in a compliance monitoring environment within financial services, with a strong understanding of the three lines of defence model
  • You will have a demonstrable understanding of the relevant risk, compliance and regulatory considerations in the UK Wealth Management market, including current areas of regulatory focus

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