At a Glance
- 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.
- Other info: Opportunity to influence compliance processes as the firm expands.
- 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.
The predicted salary is between 43200 - 72000 £ per year.
- 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.
- 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.
Compliance Manager – Wealth Management in London employer: Compliance Professionals
As a leading UK-based wealth management firm, we pride ourselves on fostering a collaborative and supportive work environment that prioritises employee development and growth. Our commitment to compliance excellence not only ensures the highest standards of service for our clients but also provides our team with unique opportunities to enhance their skills and advance their careers in a dynamic industry. Join us to be part of a culture that values integrity, innovation, and teamwork, all while enjoying the benefits of working in a thriving financial hub.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager – Wealth Management in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Professionals looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Manager – Wealth Management in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Professionals. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Professionals
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Professionals’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
