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- Tasks: Manage regulatory compliance and assess risks for new projects in wealth management.
- Company: Join a global Wealth Management Firm supporting ultra-high-net-worth individuals.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth and development.
- Why this job: Be at the forefront of regulatory changes, making a real impact in the financial sector.
- Qualifications: Legal training or degree with 7+ years in regulatory compliance at a UK financial institution.
- Other info: Collaborate with top professionals and engage directly with the FCA on compliance matters.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: We are working with an international Wealth Management Firm, who has offices across the globe and assists UHNI and Family offices to manage their wealth.
THE RESPONSIBILITIES:
- Identify and assess UK regulatory compliance risks and impact from new projects, products/services or arising from new regulations.
- Act as a focal point of contact with the FCA concerning regulatory matters and keep the General Manager, Head of Legal and Regulatory Compliance, Head Office and Management Committee updated as appropriate.
- Maintain knowledge and awareness of key regulatory changes related to Regulatory Compliance matters impacting the business, including review of relevant local consultation papers, discussion papers, guidance, policy statements, thematic reviews, and enforcement cases.
- Resolve and follow up any issues raised by the regulators in relation to regulatory compliance matters.
- Plan and manage all regulatory and internal audit requirements for regulatory compliance.
- Develop annual compliance risk assessment and compliance monitoring plan to ensure the objectives are monitored periodically and ensure local monitoring and follow up.
- Perform compliance monitoring in accordance with the compliance monitoring plan.
- Advise stakeholders on regulatory requirements and industry guidelines/ practices as set by the FCA.
EXPERIENCE REQUIRED:
- Must have legal training/law background or Degree background and work experience in Regulatory Compliance.
- At least 7 years’ relevant experience at a UK regulated bank, investment firm or Wealth Management in a second line of defence role.
- Excellent working knowledge and experience of developing compliance policies to ensure compliance with the applicable UK regulations.
- Strong knowledge with the FCA Handbook and ability to read and interpret rules and apply fact pattern to the rules.
- Excellent written and verbal communication skills to deliver accurate and concise advice.
- Experience in dealing with regulatory change projects, remediation/ Audit related issues and FCA inspections.
For further information please contact Hannah Tabatabai.
Regulatory Compliance Manager - Wealth management employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Compliance Manager - Wealth management
✨Tip Number 1
Network with professionals in the wealth management and regulatory compliance sectors. Attend industry events, webinars, or local meetups to connect with people who can provide insights into the role and potentially refer you to opportunities at firms like ours.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. Subscribe to relevant newsletters or follow key influencers in the regulatory space on social media to demonstrate your knowledge during interviews.
✨Tip Number 3
Prepare to discuss specific examples from your past experience that showcase your ability to manage compliance risks and navigate regulatory challenges. Tailor these examples to align with the responsibilities outlined in our job description.
✨Tip Number 4
Research our company’s values and recent projects. Understanding our approach to wealth management and regulatory compliance will help you articulate how your skills and experiences align with our goals during the interview process.
We think you need these skills to ace Regulatory Compliance Manager - Wealth management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your legal training and relevant experience in regulatory compliance. Emphasise your familiarity with the FCA Handbook and any specific projects you've worked on that relate to compliance.
Craft a Strong Cover Letter: In your cover letter, address how your background aligns with the responsibilities of the Regulatory Compliance Manager role. Mention specific examples of how you've identified compliance risks or managed regulatory audits in previous positions.
Showcase Communication Skills: Since excellent written and verbal communication skills are crucial for this role, consider including a brief example in your application that demonstrates your ability to convey complex regulatory information clearly and concisely.
Highlight Relevant Experience: Detail your experience in dealing with regulatory change projects and FCA inspections. Be specific about your role and the outcomes of these experiences to show your capability in managing compliance effectively.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you have a solid understanding of the FCA Handbook and recent regulatory changes. Be prepared to discuss how these regulations impact the wealth management sector and provide examples of how you've navigated compliance issues in the past.
✨Demonstrate Your Experience
Highlight your relevant experience, especially your time spent in a second line of defence role. Be ready to share specific instances where you've developed compliance policies or managed regulatory audits, showcasing your problem-solving skills.
✨Communicate Clearly
Since excellent communication skills are crucial for this role, practice articulating complex regulatory concepts in a clear and concise manner. Prepare to explain how you would advise stakeholders on compliance matters effectively.
✨Prepare Questions
Show your interest in the role by preparing insightful questions about the company's approach to regulatory compliance. Ask about their current challenges and how they foresee the regulatory landscape evolving, demonstrating your proactive mindset.
