Compliance Manager - Wealth Management

Cameron James; United Kingdom; On-site; GBP 50,000 - 75,000; Full time

Job summary

A leading company seeks a Compliance Manager to ensure adherence to legal regulations and internal policies. The role involves designing control systems, training employees, and supporting the Head of Legal. Candidates should have substantial experience in the financial services sector and strong communication skills.

Qualifications

• At least 7 years' experience in compliance or a similar role.
• Strong knowledge of industry practices and UK regulations.
• Excellent report writing skills.

Responsibilities

• Implement firm-wide policies ensuring compliance with applicable laws.
• Design and monitor control systems for ethical standards.
• Lead employee training sessions on legal and compliance issues.

Skills

Organisational Skills

Communication

Attention to Detail

Education

University degree (2:1 minimum)

Job description

Due to a pending retirement our client is looking for a Compliance Manager.

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 regulationsDesign and monitor control systems to deal with violations of ethical standards and internal policiesWork closely with the board of Directors on a day-to-day basisLead employee training sessions on legal and compliance issuesReview and approve financial promotionsThe 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 5 years' experience as a compliance officer or similar position in the financial services sectorStrong knowledge of industry practices and UK regulationsExcellent organisational skillsAbility to work under pressure and to tight timescales