Head of Compliance Advisory, Wealth Management - Eximius Finance

Eximius Finance; City Of London; On-site; GBP 125,000 - 150,000; Full time

Job summary

A leading financial services firm in London seeks a Compliance Manager to oversee their financial planning and advisory business. The role involves guiding on regulatory requirements and ensuring compliance policies are effectively implemented. The ideal candidate will possess in-depth knowledge of various regulations including MiFID and GDPR. This position manages three direct reports and offers a strategic opportunity within the organization.

Qualifications

• In-depth regulatory knowledge covering MiFID, GDPR, SMCR, RDR, AMLD, etc.

Responsibilities

• Develop a thorough understanding of the business and regulatory landscape.
• Provide compliance advice and direction on regulatory requirements.
• Ensure compliance policies and controls are in place.

Job description

This is leadership role (3 direct reports) covering their financial planning and financial advisory business. The role will be a mix of compliance advisory, regulatory change, policy and managing the compliance framework. Candidates should have in-depth regulatory knowledge covering MiFID, GDPR, SMCR, RDR, AMLD etc.

Key Responsibilities

• Develop a thorough understanding of the business and regulatory landscape the business operates within.
• Provide compliance advice, guidance and direction to the business on the legislative and regulatory requirements and impact of these requirements, as well as regulatory change, and ensuring application and control mechanisms are understood and consistently embedded
• Ensure there are effective compliance policies, procedures and controls in place in line with the firms regulatory obligations and expectations, including but not limited the requirements if MiFID, GDPR, SMRC, RDR, AMLD, etc.