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- Tasks: Ensure compliance with financial regulations and enhance the firm's compliance programme.
- Company: Leading wealth management firm in London focused on ethical practices.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Why this job: Join a dynamic team and make a real impact in compliance and risk management.
- Qualifications: Experience in compliance within wealth management and strong knowledge of FCA regulations.
- Other info: Opportunity for career growth in a fast-paced, collaborative environment.
The predicted salary is between 60000 - 80000 £ per year.
Our client is a London-based wealth management firm. The company is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Compliance Manager to join their Compliance and Risk team and contribute to the success and growth of the firm.
As a Compliance Manager, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will be responsible for a range of compliance tasks across both regulatory compliance and financial crime. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.
Key Responsibilities:- Regulatory Oversight (UK Focus)
- Support the SMF16 & SMF17 in interpreting and applying relevant FCA Handbook rules, including COBS, SYSC, and PRIN.
- Ensure compliance with key UK regulatory regimes such as MiFID II, the Senior Managers & Certification Regime (SMCR), and Consumer Duty.
- Assist with regulatory interactions, including FCA queries, thematic reviews, and RegData submissions.
- Compliance Framework (Hands-On Support & Ownership)
- Maintain and enhance the firm’s compliance policies, procedures, and controls, ensuring they remain proportionate to the size and complexity of the business.
- Support the development and execution of the compliance monitoring programme (CMP).
- Maintain key compliance registers (e.g., conflicts of interest, gifts & hospitality, breaches).
- Advisory to the Business
- Provide clear, pragmatic compliance advice to investment managers and client advisers.
- Review and challenge suitability reports and client outcomes in line with Consumer Duty requirements.
- Advise on financial promotions and marketing materials to ensure FCA compliance.
- Compliance Monitoring & Assurance
- Conduct file reviews and thematic monitoring (e.g., onboarding, suitability, periodic reviews).
- Identify areas of risk and work with the business to implement proportionate remedial actions.
- Prepare monitoring reports and support escalation to the SMF16/17 where required.
- Financial Crime & AML
- Support oversight of AML/KYC processes, including client due diligence and ongoing monitoring.
- Assist the MLRO/SMF17 with financial crime controls and, where appropriate, SAR processes.
- Promote awareness of financial crime risks across the firm.
- SMCR & Governance
- Support the maintenance of the SMCR framework, including Statements of Responsibilities and certification processes.
- Assist with annual fitness & propriety assessments.
- Contribute to governance processes, including preparing papers and MI for committees and Board reporting.
- Proven experience in a compliance role within a UK wealth management, private client, or asset management firm.
- Strong knowledge of FCA regulations, including MiFID II, Consumer Duty, and SMCR.
- Good understanding of discretionary and advisory investment services.
- Experience conducting suitability reviews and compliance monitoring.
If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.
Compliance Manager - Wealth Management in Slough employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager - Wealth Management in Slough
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management sector and let them know you're on the lookout for a Compliance Manager role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. We recommend creating a cheat sheet of key points to discuss, so you can confidently showcase your expertise when it comes to regulatory oversight and financial crime.
✨Tip Number 3
Don’t just wait for job postings to pop up! Be proactive and reach out directly to firms you admire. A well-crafted email expressing your interest in potential opportunities can set you apart from the crowd and show your enthusiasm for joining their team.
✨Tip Number 4
Finally, apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who take the initiative to connect with us directly.
We think you need these skills to ace Compliance Manager - Wealth Management in Slough
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your experience with FCA regulations and compliance frameworks, as this will show us you understand what we're looking for.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for our team. Share specific examples of how you've tackled compliance challenges in the past, especially in wealth management.
Showcase Your Communication Skills: As a Compliance Manager, you'll need to communicate effectively with various stakeholders. Use your application to demonstrate your ability to convey complex compliance issues clearly and concisely.
Apply Through Our Website: We encourage you to apply directly through our website. This way, we can ensure your application gets the attention it deserves and you can easily keep track of your application status.
How to prepare for a job interview at Black Swan Group
✨Know Your Regulations
Make sure you brush up on the key FCA regulations like MiFID II and Consumer Duty. Being able to discuss these confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Prepare Real-Life Examples
Think of specific situations where you've successfully managed compliance issues or improved processes in your previous roles. This will help you demonstrate your hands-on experience and problem-solving skills during the interview.
✨Communicate Clearly
As a Compliance Manager, you'll need to advise various stakeholders. Practice explaining complex compliance concepts in simple terms. This will showcase your ability to communicate effectively with both technical and non-technical audiences.
✨Show Your Proactive Side
Be ready to discuss how you've identified risks and implemented solutions in past roles. Highlighting your proactive approach to compliance will resonate well with the interviewers and show that you're a forward-thinking candidate.