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- Tasks: Lead compliance efforts, manage monitoring programmes, and support team development.
- Company: Join a leading UK wealth management firm dedicated to exceptional client service.
- Benefits: Enjoy competitive salary, professional development opportunities, and a collaborative work environment.
- Why this job: Make a real impact in compliance while growing your career in a dynamic industry.
- Qualifications: 5+ years in compliance, relevant certifications, and strong knowledge of FCA regulations required.
- Other info: Opportunity to influence compliance processes as the firm expands.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: Our client is a successful UK-based wealth management firm, focused on providing top-quality wealth management services to retail and professional clients. THE RESPONSIBILITIES:
- Providing advice and answering queries from the business.
- Oversee and manage the Compliance Monitoring Programme to ensure business activities comply with internal policies and regulatory requirements.
- Execute second-line monitoring and surveillance activities in line with the Compliance Monitoring Programme.
- Deputise for the Compliance Officer as required.
- Assist with leading the team on a day-to-day basis, overseeing compliance staff members assisting them with their development and answering queries etc.
- Support the development, implementation, and ongoing monitoring of the firm’s compliance policies, procedures, and control framework.
- Conduct periodic compliance reviews, including surveillance of investment advisory activities, marketing materials, and client communications.
- Monitor employee conduct, including personal account dealing, gifts and entertainment, and conflicts of interest.
- Prepare monthly compliance reports for senior management and the board.
- Conduct transaction reporting, including reconciliation, monitoring, and submissions related to third-party, institutional, and principal trades.
- Maintain and monitor the Insider Register and assist with market abuse surveillance.
- Conduct internal investigations related to compliance issues and recommend corrective actions where necessary
- Best-ex surveillance.
- Undertake Training & Competence Reviews.
- Provide compliance support for client onboarding from an AML/KYC perspective, including periodic reviews.
- Perform TR1 shareholding calculations and draft submissions to the FCA.
- Oversee and respond to queries in the compliance and approvals inbox.
- Participate in client service reviews, due diligence meetings, and related projects.
- Conduct internal investigations into compliance issues and recommend corrective actions where appropriate.
- Assist in the maintenance and updating of compliance manuals, policies, and training materials.
- Identify and implement opportunities to improve compliance processes as the firm grows.
- Provide ad hoc operational support as required.
EXPERIENCE REQUIRED:
- Minimum of 5 years\’ compliance experience within a Wealth management firm. Advisory/generalist experience
- Relevant compliance certifications (ICA, CISI, etc.) preferred.
- Solid working knowledge of the FCA Handbook, particularly COBS, SYSC, Consumer Duty and AML regulations.
- Experience with transaction reporting, monitoring programmes, and regulatory filings is highly desirable.
- Strong understanding of financial services governance structures and risk frameworks.
For further information please contact Hannah Tabatabai #J-18808-Ljbffr
Compliance Manager – Wealth Management employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager – Wealth Management
✨Tip Number 1
Network with professionals in the wealth management sector. Attend industry events, webinars, or local meetups to connect with compliance experts and learn about their experiences. This can provide you with valuable insights and potentially lead to referrals.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance trends within the wealth management industry. Subscribe to relevant newsletters or follow key influencers on social media to demonstrate your knowledge during interviews.
✨Tip Number 3
Consider joining professional associations related to compliance and wealth management. Being an active member can enhance your credibility and provide access to exclusive job postings and networking opportunities.
✨Tip Number 4
Prepare for interviews by familiarising yourself with the specific compliance challenges faced by wealth management firms. Be ready to discuss how your experience aligns with their needs and how you can contribute to improving their compliance processes.
We think you need these skills to ace Compliance Manager – Wealth Management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience specifically within wealth management. Emphasise relevant roles, responsibilities, and achievements that align with the job description.
Craft a Compelling Cover Letter: Write a cover letter that addresses the key responsibilities of the Compliance Manager role. Use specific examples from your past experience to demonstrate how you meet the requirements, particularly in compliance monitoring and regulatory knowledge.
Highlight Relevant Certifications: If you have any compliance certifications like ICA or CISI, make sure to mention them prominently in your application. This shows your commitment to the field and enhances your credibility.
Showcase Your Knowledge of Regulations: In your application, reference your understanding of the FCA Handbook and relevant regulations such as COBS and AML. This will demonstrate your expertise and readiness for the role.
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the FCA Handbook, especially COBS, SYSC, and AML regulations. Be prepared to discuss how these regulations impact the firm's operations and your previous experiences in compliance.
✨Showcase Your Leadership Skills
As a Compliance Manager, you'll be overseeing a team. Highlight your experience in leading teams, mentoring staff, and how you've successfully managed compliance issues in the past. Share specific examples that demonstrate your leadership style.
✨Prepare for Scenario-Based Questions
Expect questions that require you to think on your feet. Prepare for scenario-based questions where you might need to outline how you would handle specific compliance challenges or internal investigations. This will showcase your problem-solving skills.
✨Demonstrate Continuous Improvement Mindset
Discuss any initiatives you've led or been part of that improved compliance processes. Companies value candidates who can identify opportunities for improvement, so be ready to share your ideas on enhancing compliance frameworks as the firm grows.
