Compliance Manager – Wealth Management

Willow Resourcing; United Kingdom; Remote; GBP 10,000 - 40,000; Part time

Job summary

An established industry player is seeking a Compliance specialist for a flexible role in Wealth Management. This opportunity allows you to work remotely, adapt your hours, and enjoy unlimited holidays. You will conduct thorough due diligence, ensuring compliance with FCA regulations while working closely with buyers and sellers. The role involves assessing various compliance regimes, including T&C schemes and GDPR frameworks, providing a highly varied and engaging experience. If you are passionate about compliance and looking for a role that offers both flexibility and impact, this position is perfect for you.

Benefits

Unlimited Holidays

Flexible Working Hours

Remote Working

Qualifications

• Experienced Compliance specialist in Wealth Management with FCA regulations knowledge.
• Strong communication and stakeholder management skills required.

Responsibilities

• Conduct Compliance due diligence for M&A deals in Wealth Management.
• Assess T&C schemes, SMCR regime, Consumer Duty policies, and GDPR frameworks.

Skills

Compliance Due Diligence

Regulatory Knowledge

Financial Crime Assessment

Stakeholder Management

Excellent Communication

Education

Level 4 Qualification (DipPFS, DipFA or similar)

Job description

Looking for a Compliance role within Wealth Management that offers plenty of flexibility?

Look no further!

This is probably the most flexible role currently available, bar none.

You can work from anywhere. You can adapt your working hours around your personal commitments. We can accommodate part-time or condensed hours if required. Unlimited holidays.

This firm has quickly established itself as the go-to facilitator for M&A deals in the wealth management arena. They are trusted by all the main acquirers in the market to perform thorough due diligence of seller firms.

You’ll be responsible for undertaking all the Compliance due diligence, working closely with both buyers and sellers to ensure a successful outcome. You’ll assess all areas of a firm’s Compliance regime, both Regulatory and Financial Crime.

This means you’ll dive into their T&C schemes, their SMCR regime, their Consumer Duty policies and procedures, and their GDPR frameworks. Throw in some file reviews, the assessment of their Financial Promotions Register and an audit of their Complaints Handling process, and you’ve got a highly varied role that will use all your Compliance experience and technical knowledge.

You’ll be an experienced Compliance specialist from the Wealth Management arena with an excellent working knowledge of the FCA regulations impacting this sector. A Level 4 Qualification is essential (DipPFS, DipFA or similar), as are excellent communication and stakeholder management skills.

Interested?

If so, click apply and send over your CV.

Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for a confidential discussion or email me at [e-mail] letting me know that you’re interested. We’ll pick it up from there.

Company: Leading Due Diligence provider in the Wealth Management sector

Location: United Kingdom

Workplace: Remote Working

Reference: 415193

To apply for this position, please click on ‘Apply Now’ button or email your CV together with details of your current remuneration to [e-mail] quoting reference 415193.

Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB.