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- Tasks: Manage compliance policies and ensure adherence to regulations in wealth management.
- Company: Join a leading International Wealth Manager with over £3 billion in assets under management.
- Benefits: Enjoy a dynamic work environment with opportunities for growth and mentoring.
- Why this job: Be part of a reputable firm that values innovation and offers complex challenges.
- Qualifications: Significant experience in financial services compliance and knowledge of UK regulations required.
- Other info: Opportunity to mentor junior team members and contribute to a collaborative culture.
The predicted salary is between 43200 - 72000 £ per year.
A leading International Wealth Manager who provides Wealth and Investment Management Advice to HNW private clients often with complex multi-jurisdictional requirements. They manage over £3 billion in AUM for private clients who have UK & International ties from the London office.
Role – Working with the Head of Compliance the role will have wide ranging responsibilities and duties including:
- Implementing and reviewing company compliance policies to ensure they are compliant with all relevant regulations.
- Review compliance monitoring reports resolving risk issues and design & implement annual compliance monitoring plan.
- Ensure the company complies with AML, Anti Bribery & Corruption, Financial Crime, Treating Customers Fairly, T&C and Vulnerable Clients procedures.
- Ensure the company is acting within the Financial Services & Marketing Act / FCA / FINRA rules at all times.
- Review of the T&C scheme.
- Design and present compliance training.
- Provide technical guidance covering AML, KYC policies and regulations.
- Review high risk clients.
- Approve financial promotions.
- Keep personally and the company up to date with all regulatory and legislative changes.
- Act as a member of the Operations Committee.
- Conduct an annual review of the compliance departments procedures and processes.
- Help with the development of junior members of the compliance team, providing them with mentoring and technical knowledge training.
The ideal candidate will have significant experience working in a similar role within the financial services sector and have extensive knowledge of UK regulations. Knowledge of International / US regulations would be helpful but not essential. Preferably you will have worked in a strong team-oriented compliance department and will be able to communicate clearly across the team and wider company.
This is a good opportunity to join a growing company who have an excellent reputation within their field. They continue to grow, develop and seek new innovative ideas which provide clients with the best tax, wealth planning and multi-jurisdictional strategies available. This brings interesting complexities to the compliance department providing a challenging and rewarding working environment.
Compliance Manager - Wealth Management employer: JR United Kingdom
Contact Detail:
JR United Kingdom Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager - Wealth Management
✨Tip Number 1
Familiarise yourself with the latest UK regulations and compliance frameworks relevant to wealth management. This will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in wealth management. Attend industry events or join online forums to connect with others and gain insights that could give you an edge during the application process.
✨Tip Number 3
Prepare to discuss specific compliance challenges you've faced in previous roles and how you resolved them. This will showcase your problem-solving skills and practical experience, which are crucial for the Compliance Manager position.
✨Tip Number 4
Research the company’s values and recent developments in their compliance practices. Tailoring your conversation to align with their goals can make a strong impression and show that you're genuinely interested in contributing to their success.
We think you need these skills to ace Compliance Manager - Wealth Management
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities of a Compliance Manager in Wealth Management. Familiarise yourself with compliance policies, AML regulations, and the specific requirements mentioned in the job description.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance within the financial services sector. Emphasise your knowledge of UK regulations and any experience with international regulations, even if it's not essential.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and wealth management. Mention specific examples of how you've implemented compliance policies or resolved risk issues in previous roles to demonstrate your suitability for the position.
Highlight Teamwork and Communication Skills: Since the role requires clear communication across teams, ensure you provide examples of your teamwork and communication skills in both your CV and cover letter. This will show that you can effectively collaborate within a compliance department.
How to prepare for a job interview at JR United Kingdom
✨Know Your Regulations
Make sure you have a solid understanding of UK regulations, especially those related to AML, KYC, and financial crime. Being able to discuss these topics confidently will show that you're well-prepared for the role.
✨Demonstrate Team Collaboration
Since the role requires working closely with the Head of Compliance and other team members, be ready to share examples of how you've successfully collaborated in previous roles. Highlight your communication skills and ability to work in a team-oriented environment.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving skills in compliance scenarios. Think about past experiences where you resolved compliance issues or implemented policies, and be prepared to discuss your thought process.
✨Show Your Mentoring Skills
As the role involves developing junior members of the compliance team, be prepared to talk about any mentoring or training experiences you've had. Share how you’ve helped others grow in their roles and the impact it had on the team.
