Wealth Management Compliance Lead (SMF16)

KennedyPearce; Greater London; On-site; GBP 90,000 - 150,000; Full time

Job summary

KennedyPearce seeks an experienced Head of Compliance for its client’s wealth management team in London. The role requires SMF16 designation and leads internal compliance and governance design, advising senior stakeholders on regulatory changes.

Key duties include monitoring, surveillance, regulatory reporting, approving financial promotions, policy updates, training, and liaising with the FCA and PRA. Seven years in a similar role in wealth management is essential.

Qualifications

• SMF16 designation is required.
• 7+ years of compliance leadership experience in wealth management.
• Strong people management and stakeholder engagement skills.

Responsibilities

• Lead design and enhancement of internal compliance and governance frameworks.
• Provide regulatory advice to senior stakeholders, covering new regulations impact.
• Conduct monitoring, surveillance, and regulatory reporting; approve financial promotions.
• Update policies, deliver training, and act as liaison with regulators (FCA, PRA).

Skills

SMF16 designation

Regulatory leadership

People management

Stakeholder management

Job description

KennedyPearce seeks an experienced Head of Compliance for its client’s wealth management team in London. The role requires SMF16 designation and leads internal compliance and governance design, advising senior stakeholders on regulatory changes.

Key duties include monitoring, surveillance, regulatory reporting, approving financial promotions, policy updates, training, and liaising with the FCA and PRA. Seven years in a similar role in wealth management is essential.