Compliance Manager - Wealth Management

Oval Recruit Ltd.; Greater London; On-site; GBP 147,000 - 155,000; Full time

Job summary

Join a forward-thinking company as a Compliance Manager, where you'll play a pivotal role in ensuring adherence to regulations in a dynamic environment. You will implement and review compliance policies, conduct training, and mentor junior team members. This role offers a unique opportunity to work with a leading International Wealth Manager, providing you with the chance to engage in complex compliance challenges and contribute to innovative strategies. If you're passionate about compliance and eager to make a significant impact, this is the perfect opportunity for you.

Qualifications

• Significant experience in compliance within financial services.
• Extensive knowledge of UK regulations is essential.

Responsibilities

• Implement and review compliance policies to meet regulations.
• Conduct annual reviews of compliance procedures and processes.
• Provide technical guidance on AML and KYC regulations.

Skills

Compliance Knowledge

AML Regulations

KYC Policies

Financial Crime Regulations

Training and Mentoring

Education

Degree in Law or Finance

Professional Compliance Certification

Job description

This range is provided by Oval Recruit Ltd.. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from Oval Recruit Ltd.

Client - A leading International Wealth Manager who provides Wealth and Investment Management Advice to HNW private clients often with complex multi-jurisdictional requirements. They manage over £3 billion in AUM for private clients who have UK & International ties from the London office.

Role – Working with the Head of Compliance the role will have wide ranging responsibilities and duties including –

• Implementing and reviewing company compliance polies to ensure they are complicit with all relevant regulations.

• Review compliance monitoring reports resolving risk issues and design & implement annual compliance monitoring plan.

• Ensure the company complies with AML, Anti Bribery & Corruption, Financial Crime, Treating Customers Fairly, T&C and Vulnerable Clients procedures.

• Ensure the company is acting within the Financial Services & Marketing Act / FCA / FINRA rules at all times.

• Review of the T&C scheme

• Design and present compliance training.

• Provide technical guidance covering AML, KYC policies and regulations.

• Review high risk clients

• Approve financial promotions.

• Keep personally and the company up to date with all regulatory and legislative changes.

• Act as a member of the Operations Committee.

• Conduct an annual review of the compliance departments procedures and processes

• Help with the development of junior members of the compliance team, providing them with mentoring and technical knowledge training.

Candidate – The ideal candidate will have significant experience working in a similar role within the financial services sector and have extensive knowledge of UK regulations. Knowledge of International / US regulations would be helpful but not essential. Preferably you will have worked in a strong team-oriented compliance department and will be able to communicate clearly across the team and wider company.

Opportunity – This is a good opportunity to join a growing company who have an excellent reputation within their field. They continue to grow, develop and seek new innovative ideas which provide clients with the best tax, wealth planning and multi-jurisdictional strategies available. This brings interesting and complexities to the compliance department providing a challenging and rewarding working environment.

For more information and a full job description please contact Richard Garbett

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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