Senior Compliance Advisory Manager – Private Wealth Management (or Discretionary Investment Man[...]

Compliance Recruitment Solutions; London; Hybrid; GBP 70,000 - 90,000; Full time

Job summary

A leading wealth and investment manager is seeking a Senior Compliance Advisory Manager to lead their compliance team. The role involves regulatory advisory, team leadership, and ensuring compliance with FCA regulations. This hybrid position offers excellent career advancement opportunities and benefits.

Benefits

Generous Pension

Equity Share Scheme

Holiday Purchase Options

Qualifications

• Minimum of 8 years’ experience in a wealth management firm.
• Broad understanding of FCA regulations.

Responsibilities

• Lead the Compliance & Regulatory Advisory Team.
• Conduct regulatory horizon scanning and provide updates.
• Develop and manage compliance procedures and guidelines.

Skills

Interpersonal Skills

Regulatory Knowledge

Job description

Senior Compliance Advisory Manager – Private Wealth Management (or Discretionary Investment Management) Compliance Experience Required

Ref: 4114G

Our client, a wealth & investment manager and part of a larger global banking Group, is seeking a Senior Compliance Advisory Manager to join their collaborative and dynamic compliance team. Reporting to the Head of Compliance, key duties include:

1. Leading the Compliance & Regulatory Advisory Team, with one direct report and mentoring other team members.
2. Conducting regulatory horizon scanning, including data protection, and keeping the Head of Compliance informed of key developments and their potential impacts.
3. Providing regular updates on current and upcoming regulatory changes to support the business in aligning with regulatory expectations and industry best practices, including data protection.
4. Ensuring all actions raised with the business are tracked to completion, with updates provided to the Head of Compliance and overdue actions escalated.
5. Developing, implementing, and managing procedures, guidelines, and templates, ensuring they are current, aligned with the parent company, and compliant with relevant regulations, including data protection.
6. Supporting the Compliance Monitoring Team to incorporate recent regulatory developments into monitoring reviews, including on data protection.

Applicants should have a minimum of 8 years’ experience in a wealth management firm, with knowledge of wealth planning and advice covering investment funds, pensions, Offshore Investment Bonds, or SIPPs. A broad understanding of FCA regulations and some staff supervision experience is also required.

This role offers an excellent opportunity to advance your compliance career within one of the UK’s fastest-growing wealth & investment management firms. Benefits include a generous pension, equity share scheme, and holiday purchase options. The position is hybrid, with 3 days in the office and 2 days remote.

If you possess strong interpersonal skills, can diplomatically liaise at all levels, and are ambitious with a desire to work in a challenging, market-leading environment, please send your CV to Gary Collins at [e-mail].

Compliance Recruitment Solutions Limited (CRS) and Symes Collins act as employment agencies for this role.

Applicants must be legally entitled to work in the UK. By applying, candidates confirm the accuracy of their information and acceptance of these terms.

We are ethical, expert, and professional recruiters, led by former compliance officers specializing in AML & Financial Crime, including Anti-Bribery & Corruption.

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