lavori da Wealth Management in località Regno Unito

THE COMPANY: Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.

THE RESPONSIBILITIES:

1. Develop, implement, and oversee a robust compliance monitoring framework for all business areas within the Business, including financial planning, asset/fund management, and custodial services.
2. Lead and manage a team of compliance monitoring personnel, ensuring efficient and effective delivery of compliance oversight.
3. Monitor and assess compliance with relevant financial regulations, industry standards, and internal policies and procedures.
4. Collaborate with senior leadership across the business to identify emerging risks, provide strategic advice, and ensure that regulatory requirements are met in all areas of the firm.
5. Conduct regular sector and pillar specific compliance reviews and audits, ensuring any compliance breaches or deficiencies are promptly identified, documented, and mitigated.
6. Develop and maintain compliance reporting tools, dashboards, and other mechanisms to ensure transparency and accountability.
7. Provide guidance and training to business units on compliance matters, ensuring employees are well-versed in regulatory expectations and company policies.
8. Liaise with regulators and external auditors as necessary and coordinate responses to any regulatory inquiries or investigations.

EXPERIENCE REQUIRED:

1. Proven experience in a compliance monitoring role within wealth management, financial planning, or fund management sectors.
2. Experience managing and leading a team of compliance professionals.
3. Strong understanding of financial regulations and compliance requirements, including, but not limited to, client money protections, anti-money laundering (AML), and conduct of business rules.
4. Experience in custodial and clearing services is beneficial but not essential.
5. Strong problem-solving skills, with the ability to adapt to a fast-paced, dynamic environment.
6. Exceptional attention to detail, with a methodical approach to risk assessment and compliance oversight.
7. Excellent communication skills, with the ability to collaborate effectively with senior management, regulators, and other key stakeholders.