Senior Compliance Manager - Regulatory & Advisory (Wealth Management firm)

ZipRecruiter; London; Hybrid; GBP 90,000 - 115,000; Full time

Job summary

A leading wealth management firm in London is seeking a Senior Compliance Manager to oversee regulatory and advisory compliance. The role involves managing compliance operations, conducting regulatory analysis, and ensuring alignment with industry best practices. The ideal candidate will have at least 5 years of experience in wealth management, focusing on areas such as investment funds and pensions. This position offers a hybrid working model, allowing flexibility in the workplace.

Qualifications

• Minimum 5 years’ experience in a wealth management firm.

Responsibilities

• Lead and manage the Compliance Regulatory and Advisory Compliance Manager.
• Undertake regulatory horizon scanning and keep the Head of Compliance informed.
• Provide training on regulatory changes and new regulations.

Job description

Job Description

Senior Compliance Manager (Regulatory & Advisory)

Wealth Management firm

£90K-£115K

London - Hybrid working

Main Responsibilities

1. Lead and manage the Compliance Regulatory and Advisory Compliance Manager.
2. Develop and support the Compliance Regulatory and Advisory Compliance Manager, sharing knowledge across the team and minimizing key person risk.
3. Undertake regulatory horizon scanning, including data protection, and keep the Head of Compliance informed of key developments and their impact on the business.
4. Attend internal and external events such as webinars, seminars, conferences, and discussion groups to understand regulatory expectations and developments, and identify gaps or concerns to discuss with the Head of Compliance.
5. Provide regular updates to the business on current and upcoming regulatory developments to align operations with regulatory expectations and industry best practices, including data protection.
6. Review and analyze new regulations, providing advice and guidance to ensure proper interpretation and implementation, including data protection considerations.
7. Maintain the Regulatory Events Register and ensure all related documentation and evidence of feedback are properly stored.
8. Track actions raised with the business to completion, keep the Head of Compliance informed of progress, and escalate overdue actions.
9. Create and deliver written communications on regulatory developments to the business.
10. Provide training on regulatory developments and new regulations as needed, including data protection topics.
11. Develop, implement, and manage procedures, guidelines, and templates, ensuring they are current, aligned with the parent company, and compliant with relevant regulations, including data protection.
12. Support the Compliance Monitoring Team to incorporate recent regulatory developments into monitoring reviews, including data protection aspects.
13. Undertake Data Protection Privacy Impact Assessments.
14. Assist the business with Data Rights requests.

Experience

• Minimum 5 years’ experience in a wealth management firm, preferably with knowledge of wealth planning, advice, investment funds, pensions, Offshore Investment Bonds, SIPPs, etc.