Compliance Manager (Wealth Management)

Willow Resourcing Limited; Bath; Hybrid; GBP 90,000 - 150,000; Full time

Job summary

Willow Resourcing Limited Bath hybrid compliance role seeks an experienced specialist to provide expert advice and oversight across multiple entities. You will lead monitoring and reporting, ensuring regulatory standards are met and training is delivered across the group.

Ideal candidates will have wealth management exposure, a Level Four Diploma in Compliance (or progress towards it), and excellent stakeholder management skills. The role offers a hybrid pattern with two office days per week.

Qualifications

• Experienced compliance specialist with wealth management exposure.
• Qualified to Level Four Diploma or working towards it.
• Excellent communication and stakeholder management skills.

Responsibilities

• Provide expert advice on Compliance issues with sound commercial judgement.
• Develop and implement monitoring regime across entities to ensure compliance and timely remedial actions.
• Deliver risk-based reporting to Head of Compliance and manage training programs for employees.
• Submit regulatory information and notifications to the FCA and complete relevant regulatory returns.
• Act as DMLRO for all regulated firms and review AML alerts.

Skills

Wealth management

Compliance

Regulatory environment

Stakeholder management

Education

Level Four Diploma (or equivalent)

Job description

Location: Bath (Hybrid – 2 days a week in the office)

What’s in it for you?

The chance to join a rapidly growing wealth management firm. You’ll be busy, the role will be interesting and challenging, and you’ll get some great business exposure.

You’ll also be the natural successor to the Head of Compliance, so there’s real potential that this will lead to an SMF16 & 17 role.

There’s also a very flexible working model, with only 2 days a week in the office, the other 3 days spent working from home.

And finally, this is a firm that puts culture first. They want their people to enjoy working there and this is clear whenever you engage with anyone in the business.

What you’ll be doing

Reporting into the Head of Compliance, (SMF16 & 17) and managing one direct report, you’ll be responsible for providing expert advice on Compliance issues together with sound commercial judgement.

You’ll create, evolve and implement an appropriate monitoring regime across all business entities (a couple of directly regulated firms and several ARs) to ensure Compliance standards are maintained and timely remedial actions are taken when required.

You'll provide regular risk‑based reporting on all controlled functions to the Head of Compliance and manage the delivery of required compliance training and testing programs for employees across the group, including the creation of training materials tailored to diverse business areas.

In addition, you'll be responsible for the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant regulatory returns.

You'll also act as DMLRO for all regulated firms and act as the first line reviewer for alerts raised by the AML system, escalating cases as appropriate.

What we’re looking for

You’ll be an experienced compliance specialist with extensive wealth management exposure and will ideally be qualified to at least Level Four diploma, although exceptional candidates either working towards this qualification or with wider compliance qualifications will also be considered.

You’ll have a good understanding of the regulatory environment impacting wealth management firms, including COBS, DISP, COLL and Consumer Duty.

Superior communication and stakeholder management skills are essential for this role.