Wealth Advisory Compliance Lead

Rathbones; Liverpool; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

Rathbones is looking for a Compliance Manager in Liverpool to support the Compliance Advice Wealth Advisory team. This role involves providing regulatory and compliance advice, ensuring adherence to standards, and supporting investment management processes.

The candidate should have strong interpersonal and communication skills, a good understanding of financial services, and the ability to work both autonomously and collaboratively within a team.

Qualifications

• Strong understanding of financial services and applicable regulations.
• Excellent written and verbal communication skills.
• Ability to provide pragmatic solutions and take initiative.

Responsibilities

• Provide day-to-day Compliance Advice to the RIM business.
• Identify and investigate regulatory breaches.
• Support the review and challenge of business proposals and projects.

Skills

Financial services regulations

Interpersonal skills

Communication skills

Team collaboration

Problem-solving

Job description

Rathbones is looking for a Compliance Manager in Liverpool to support the Compliance Advice Wealth Advisory team. This role involves providing regulatory and compliance advice, ensuring adherence to standards, and supporting investment management processes.

The candidate should have strong interpersonal and communication skills, a good understanding of financial services, and the ability to work both autonomously and collaboratively within a team.