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- Tasks: Lead compliance efforts in Wealth Management, ensuring regulatory standards are met.
- Company: Progressive Wealth Management firm with a focus on bespoke solutions for HNW clients.
- Benefits: Competitive salary, recognition for your work, and opportunities for career advancement.
- Why this job: Join a dynamic team where your expertise shapes compliance and drives success.
- Qualifications: In-depth knowledge of compliance processes in Wealth Management and strong communication skills.
- Other info: Be part of an ambitious firm that values your contributions and offers growth.
The predicted salary is between 80000 - 100000 £ per year.
Due to continued success in delivering bespoke Wealth Management Solutions to a range of HNW clients, this innovative Wealth Management firm is seeking to recruit an accomplished Compliance professional to join their business. Your role will be to provide Compliance leadership and oversight of the Wealth operations of the business.
You will have prime responsibility for regulatory compliance, anti-money laundering and risk management functions, assuming CF10 & 11 roles with additional SM16 and 17 responsibilities. You will ensure that the business has effective systems, procedures and controls for compliance with requirements and standards under the regulatory system, including risk management, anti-money laundering and data protection and oversee the notification and reporting requirements.
You will be responsible for the maintenance of documented and effective compliance procedures consistent with internal standards, business goals and attitude to risk. In addition, you will be responsible for the analysis and assessment of regulatory developments, and their effective implementation in line with the needs of the business.
You will improve where necessary, the Compliance Manual and Compliance Monitoring Programme in respect of all activities in relation to the operation of Compliance and assess any issues identified or raised from a control, commercial and regulatory perspective and work with operational management to ensure all issues are resolved promptly.
Additionally, you will design and implement changes to scope or focus of reviews where new risks have been identified and ensure all registers necessary to demonstrate compliance with FCA regulations are created, completed and kept up to date.
Applications are invited from skilled Compliance professionals who can demonstrate in-depth knowledge of process and procedures gained within a Wealth Management environment. You will have extensive regulatory knowledge and understanding and be able to communicate effectively at all levels, both internal and externally. It is important that you have a pragmatic and commercial approach whilst maintaining the regulatory integrity of your role.
This is an excellent opportunity to join a progressive and ambitious firm where your endeavours are recognised and rewarded.
Head of Compliance - Wealth Management in London employer: Brevere Group
Contact Detail:
Brevere Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - Wealth Management in London
✨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 new opportunities. You never know who might have the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by brushing up on your regulatory knowledge and compliance procedures. Be ready to discuss how you've tackled challenges in previous roles, especially around anti-money laundering and risk management.
✨Tip Number 3
Showcase your leadership skills! When chatting with potential employers, highlight your experience in overseeing compliance operations and how you've improved processes in past positions. They’ll want to see you can lead the charge.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Head of Compliance - Wealth Management in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience in regulatory compliance, anti-money laundering, and risk management, as these are key areas for us. Use specific examples that showcase your skills and achievements in a Wealth Management environment.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for our team. Mention your extensive regulatory knowledge and how you can contribute to our compliance leadership. Keep it concise but impactful!
Showcase Your Communication Skills: As a Compliance professional, effective communication is crucial. In your application, demonstrate how you've successfully communicated complex regulatory requirements to various stakeholders. This will show us that you can handle the internal and external communication aspects of the role.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, you’ll find all the details about our company culture and values there!
How to prepare for a job interview at Brevere Group
✨Know Your Regulations Inside Out
Make sure you brush up on the latest FCA regulations and compliance standards relevant to Wealth Management. Being able to discuss these confidently will show that you're not just familiar with the rules, but that you can apply them effectively in a practical setting.
✨Demonstrate Your Leadership Skills
As a Head of Compliance, you'll need to showcase your ability to lead and influence others. Prepare examples of how you've successfully managed compliance teams or projects in the past, highlighting your strategic thinking and problem-solving skills.
✨Prepare for Scenario-Based Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Think about how you would handle issues like regulatory breaches or risk management failures, and be ready to articulate your thought process and decision-making criteria.
✨Showcase Your Communication Skills
Effective communication is key in this role. Be prepared to discuss how you've communicated complex compliance issues to various stakeholders, both internally and externally. Highlight your ability to tailor your message to different audiences while maintaining clarity and authority.