Compliance Manager, Wealth Advisory

Rathbones; Liverpool; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

Rathbones is looking for a Compliance Manager in Liverpool to support the Compliance Advice Wealth Advisory team. This role involves providing regulatory and compliance advice, ensuring adherence to standards, and supporting investment management processes.

The candidate should have strong interpersonal and communication skills, a good understanding of financial services, and the ability to work both autonomously and collaboratively within a team.

Qualifications

• Strong understanding of financial services and applicable regulations.
• Excellent written and verbal communication skills.
• Ability to provide pragmatic solutions and take initiative.

Responsibilities

• Provide day-to-day Compliance Advice to the RIM business.
• Identify and investigate regulatory breaches.
• Support the review and challenge of business proposals and projects.

Skills

Financial services regulations

Interpersonal skills

Communication skills

Team collaboration

Problem-solving

Job description

Role Title: Compliance Manager, Wealth Advisory

Division: Compliance

Location: Liverpool, London, Birmingham

Contract: Permanent

Working pattern: Hybrid

Sitting within the 2LOD Compliance Advice Wealth Advisory team, the primary purpose of this position is to support the Compliance Advice Wealth Advisory team with the provision of regulatory and compliance advice to the RIM Investment Management business.

What you’ll be responsible for

• Responsible for providing day to day Compliance Advice to the RIM business.
• Supports the Wealth Advisory team with the provision of accurate and timely Compliance advice, identifying and investigating regulatory breaches and non-compliance with Group standards and supporting their resolution.
• Supports with the review and challenge of business proposals and projects relating to Investment Management including assisting with the Investment Process and Product Governance arrangements.
• Responsible for assisting the Compliance Senior Manager with ensuring advice provided to RIM is documented accurately in monthly reports.
• Supports the Compliance Senior Manager with ensuring business processes and controls are fit for purpose providing pro-active advice where needed to ensure good client outcomes.
• Takes a proactive, hands-on approach when responding to queries and making recommendations and looks for improvements in client facing oversight and governance processes;
• To be Compliance lead on any relevant ad-hoc project work, including the implementation of new regulatory policies and/or regulatory change as required.
• Responsible for ensuring potential individual and corporate conduct breaches are escalated to the Senior Compliance Manager and remediation of the breach is carried through including providing guidance with procedures, training and escalation

About you

If you meet some of these criteria and are excited about the role, we encourage you to apply

• Good understanding of financial services and the regulations applicable to RIM.
• Strong team player with good interpersonal and excellent communication skills – both written (report writing) and verbal.
• The ability to engage in open dialogue and provide pragmatic solutions.
• Comfortable taking initiative and working across multiple business lines/jurisdictions.
• Ability to identify issues and take a risk-based approach towards escalations to Compliance Senior Manager.
• Able to work effectively within a team or autonomously as required.
• Able to provide supervision or matrix management of others for specific tasks where required.
• Able to engage with the business in a credible and collaborative fashion along with the promotion of trust and integrity.
• Significant Hands-on experience of working in a financial services business.