At a Glance
- Tasks: Lead compliance efforts in a dynamic wealth management firm and ensure regulatory standards are met.
- Company: Rapidly growing wealth management firm prioritising culture and employee satisfaction.
- Benefits: Competitive salary, flexible hybrid working, and potential for career advancement.
- Other info: Opportunity to succeed the Head of Compliance and grow your career.
- Why this job: Join a team where your expertise shapes compliance and drives business success.
- Qualifications: Experience in compliance within wealth management and strong communication skills required.
The predicted salary is between 60000 - 75000 £ per year.
Financial Planning & Advice
Location: Bath (Hybrid – 2 days a week in the office)
Salary: £60k - £75k + benefits
What's in it for you?
- The chance to join a rapidly growing wealth management firm.
- The role will be interesting and challenging, with great business exposure.
- Potential to become the natural successor to the Head of Compliance, leading to an SMF16 & 17 role.
- A very flexible working model, with only 2 days a week in the office.
- A firm that puts culture first, ensuring employees enjoy working there.
What you'll be doing:
- Reporting into the Head of Compliance (SMF16 & 17) and managing one direct report.
- Providing expert advice on Compliance issues with sound commercial judgement.
- Creating, evolving, and implementing an appropriate monitoring regime across all business entities.
- Providing regular risk-based reporting on all controlled functions to the Head of Compliance.
- Managing the delivery of required compliance training and testing programs for employees.
- Responsible for the timely and accurate submission of regulatory information and notifications to the FCA.
- Acting as DMLRO for all regulated firms and as the first line reviewer for alerts raised by the AML system.
What we're looking for:
- An experienced compliance specialist with extensive wealth management exposure.
- Ideally qualified to at least Level Four diploma, or working towards this qualification.
- Good understanding of the regulatory environment impacting wealth management firms, including COBS, DISP, COLL, and Consumer Duty.
- Superior communication and stakeholder management skills are essential.
Interested? If so, click apply and send over your CV.
Not got an up to date CV? Don't worry, you can always give me (Mark) a call on 0121 274 0357 for a confidential discussion or email me at mark.wilson@willowresourcing.co.uk letting me know that you're interested. We'll pick it up from there.
We think you need these skills to ace Compliance Manager (Wealth Management) in Bath
Compliance Expertise
Wealth Management Knowledge
Regulatory Understanding
COBS
DISP
COLL
Consumer Duty
