Compliance Manager- Wealth/Asset Management

ZipRecruiter; London; On-site; GBP 100,000 - 125,000; Full time

Job summary

A dynamic Wealth Management firm is seeking an experienced Compliance Manager in London to ensure operations comply with regulations. This role involves managing compliance programs, conducting audits, and preparing reports for management. Candidates should have a CISI Compliance Diploma and experience in a similar role, along with strong analytical skills, to thrive in a fast-paced environment.

Qualifications

• Proven experience as a Compliance Manager in Wealth Management.
• Familiarity with regulatory requirements and compliance policies.
• Strong analytical and problem-solving skills.

Responsibilities

• Manage the Compliance Monitoring Programme to ensure compliance.
• Conduct compliance reviews and monitor employee conduct.
• Prepare compliance reports for senior management.

Skills

CISI Compliance Diploma

Compliance Monitoring

AML/KYC compliance

Internal Investigations

Education

Compliance Manager experience

Job description

Job Description

Our client is a dynamic Wealth Management firm, committed to delivering exceptional client service through integrity, innovation, and professionalism.

We are currently seeking a full-time, experienced Compliance Manager to join our growing team and ensure our operations remain fully compliant with applicable laws, regulations, and internal policies.

This is an exciting opportunity for a compliance professional with a strong background in Wealth Management, looking to advance their career in a fast-paced, collaborative environment. We are recruiting for a CISI Compliance Diploma or equivalent qualified Compliance Manager experience in a similar role.

Key Responsibilities

1. Providing advice and answering queries from the business.
2. Oversee and manage the Compliance Monitoring Programme for the firm to ensure business activities comply with internal policies and regulatory requirements.
3. Execute second-line monitoring and surveillance activities in line with the Compliance Monitoring Programme.
4. Deputise for the Compliance Officer as required.
5. Assist with leading the team on a day-to-day basis, overseeing compliance staff members, assisting them with their development, and answering queries.
6. Support the development, implementation, and ongoing monitoring of the firm’s compliance policies, procedures, and control framework.
7. Conduct periodic compliance reviews, including surveillance of investment advisory activities, marketing materials, and client communications.
8. Monitor employee conduct, including personal account dealing, gifts and entertainment, and conflicts of interest.
9. Prepare monthly compliance reports for senior management and the board.
10. Conduct transaction reporting, including reconciliation, monitoring, and submissions related to third-party, institutional, and principal trades.
11. Maintain and monitor the Insider Register and assist with market abuse surveillance.
12. Conduct internal investigations related to compliance issues and recommend corrective actions where necessary.
13. Undertake Training & Competence Reviews.
14. Provide compliance support for client onboarding from an AML/KYC perspective, including periodic reviews.
15. Perform TR1 shareholding calculations and draft submissions to the FCA.
16. Oversee and respond to queries in the compliance and approvals inbox.
17. Participate in client service reviews, due diligence meetings, and related projects.
18. Assist in the maintenance and updating of compliance manuals, policies, and training materials.
19. Identify and implement opportunities to improve compliance processes as the firm grows.
20. Provide ad hoc operational support as required.