Compliance Manager - Private Wealth Management

ZipRecruiter; London; On-site; GBP 100,000 - 120,000; Full time

Job summary

An exciting opportunity awaits a seasoned Compliance Manager to join a dynamic wealth management firm in London. This role offers a competitive salary and the chance to work in an innovative environment that values teamwork and integrity. The successful candidate will oversee compliance monitoring, implement policies, and lead training sessions, ensuring adherence to industry regulations. With a focus on ethical standards, you'll play a crucial role in shaping the firm's compliance culture. If you have a strong background in financial services and are ready for a new challenge, this position is perfect for you.

Qualifications

• 7+ years of experience in compliance within financial services.
• Strong knowledge of UK regulations and industry practices.

Responsibilities

• Implement firm-wide policies ensuring compliance with laws.
• Lead training sessions on legal and compliance issues.
• Design control systems to handle violations.

Skills

Compliance

Analytical Skills

Organisational Skills

Report Writing

Education

University Degree (2:1 minimum)

Job description

Job Description

Compliance Manager (Private Wealth)

Salary: £100,000 - £120,000

Location: London

Keywords: Compliance, Manager, Financial Services, Policies, Regulations

An exciting opportunity has arisen for a seasoned Compliance Manager to join a dynamic wealth management firm. This role offers the chance to work within a growing, innovative company that values teamwork, mastery, and empathy. The successful candidate will be responsible for implementing firm-wide policies and overseeing compliance monitoring reports. With a competitive salary of £100,000 - £120,000 and based in the vibrant city of London, this role is perfect for an individual with strong analytical skills and excellent attention to detail.

• Competitive salary of £100,000 - £120,000
• Based in London
• Opportunity to work in a dynamic wealth management firm

What you'll do:

As a Compliance Manager, you will play a crucial role in maintaining the integrity of our client's operations. You will be tasked with reviewing and implementing firm-wide policies, designing control systems to handle any violations, and leading training sessions on legal and compliance issues. Your ability to communicate clearly at all levels both internally and externally will be key in this role. You will also provide invaluable support to the Head of Legal and Compliance.

• Implement firm-wide policies ensuring compliance with applicable laws and regulations
• Design and monitor control systems to deal with violations of ethical standards and internal policies
• Work closely with the Head of Compliance on a day-to-day basis
• Lead employee training sessions on legal and compliance issues
• Review and approve financial promotions
• Provide support to the Head of Legal and Compliance

What you bring:

The ideal candidate for this Compliance Manager role will bring a wealth of experience from the financial services sector. With at least 7 years' experience in a similar role, you'll have strong knowledge of industry practices and UK regulations. Your excellent organisational skills will enable you to manage your workload effectively even under pressure. A university degree (2:1 minimum) is required for this role. Your strong report writing skills will be essential in communicating complex information clearly.

• Minimum of 7 years' experience as a compliance officer or similar position in the financial services sector
• Strong knowledge of industry practices and UK regulations
• Excellent organisational skills
• Ability to work under pressure and to tight timescales
• University degree (2:1 minimum)
• Strong report writing skills

What sets this company apart:

Our client is proud to be the UK's first financial services B Corporation member, asserting that businesses can benefit shareholders whilst also solving social and environmental problems. They aim to influence the way investing and charitable giving are viewed in both the financial and wider communities, promoting accountability standards that being a B Corp member represents.

What's next:

Ready for an exciting new challenge? Apply now!

Apply Today by sending your CV along with the job title 'Compliance Manager' to the provided email address.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates