Senior Compliance Advisory Team Lead, Wealth Management

Hays; City Of London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A distinctively cultured wealth management firm is seeking a Senior Compliance Advisory Team Lead to provide regulatory guidance and foster a compliance culture. The role involves analyzing regulations and leading compliance initiatives across the organization.

Qualifications

• At least five years' compliance experience in wealth management.
• Experience leading staff.

Responsibilities

• Deliver regulatory advice and guidance to the business.
• Review and analyze new regulations, including data protection.
• Provide training and advice for compliance.

Skills

Leadership

Compliance

Regulatory Knowledge

Job description

Job Description

Distinctively cultured wealth management firm seeks a Senior Compliance Advisory Team Lead to deliver regulatory advice and guidance to the wider business. Reporting to the Head of Compliance, the successful candidate will provide leadership in fostering an effective compliance culture and help manage compliance risks.

The role includes reviewing and analyzing new regulations, including data protection, and understanding how peer firms interpret and implement them. The candidate will also provide training and advice to ensure compliance is embedded across the organization.

Requirements:

1. At least five years' compliance experience in a wealth management environment.
2. Experience leading staff.
3. Knowledge of wealth planning, investments, pensions, and SIPPs.