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

JR United Kingdom; London; Hybrid; GBP 70,000 - 90,000; Full time

Job summary

A leading Wealth Management firm in London is seeking a Senior Compliance Manager to lead their Compliance Regulatory and Advisory team. This role involves ensuring adherence to regulatory requirements, developing team capabilities, and providing guidance on compliance matters. The ideal candidate will have a strong background in wealth management and a minimum of 5 years’ experience in the field.

Qualifications

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

Responsibilities

• Lead and manage the Compliance Regulatory and Advisory Compliance team.
• Conduct regulatory horizon scanning and keep the Head of Compliance informed.
• Create and deliver communications and training on regulatory topics.

Skills

Regulatory Compliance

Data Protection

Wealth Management

Job description

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

This role is based in London, with a hybrid working model, for a Wealth Management firm.

Key Responsibilities:

• Lead and manage the Compliance Regulatory and Advisory Compliance team.
• Develop and support team members, sharing knowledge and minimizing key person risk.
• Conduct regulatory horizon scanning, including data protection, and keep the Head of Compliance informed of key developments.
• Attend industry events to understand regulatory expectations and interpret them for the firm.
• Provide updates and guidance on regulatory developments to ensure compliance and industry best practices.
• Review and analyze new regulations, advising the business on compliance and data protection requirements.
• Maintain the Regulatory Events Register and relevant documentation.
• Track and escalate compliance actions to ensure timely completion.
• Create and deliver communications and training on regulatory topics, including data protection.
• Develop, implement, and maintain procedures, guidelines, and templates aligned with regulatory requirements.
• Support the Compliance Monitoring Team and undertake Data Protection Privacy Impact assessments.
• Assist with Data Rights requests from the business.

Experience and Qualifications:

• Minimum 5 years’ experience in a wealth management firm, with knowledge of wealth planning, advice, investment funds, pensions, offshore investments, SIPPs, etc.