At a Glance
- Tasks: Lead compliance efforts in a dynamic wealth management firm and ensure regulatory standards are met.
- Company: Join a rapidly growing firm that prioritises culture and employee satisfaction.
- Benefits: Competitive salary, flexible hybrid working, and potential for career advancement.
- Other info: Opportunity for professional growth and a supportive work environment.
- Why this job: Be the future leader in compliance with real impact on business success.
- Qualifications: Experience in compliance within wealth management and strong communication skills.
The predicted salary is between 60000 - 75000 £ per year.
Financial Planning & Advice
Location: Gloucester (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.
- 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 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 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.
- Superior communication and stakeholder management skills are essential.
Interested? If so, click apply and send over your CV.
We think you need these skills to ace Compliance Manager (Wealth Management) in Gloucester
Compliance Expertise
Wealth Management Knowledge
Regulatory Understanding (COBS, DISP, COLL, Consumer Duty)
Risk-Based Reporting
Training Development
Stakeholder Management
Communication Skills
