Senior Manager, Compliance and Regulatory Advisory

One of the fastest growing firms in the Wealth and Financial Advice space is looking to hire a Senior Compliance Manager to join their office in St Albans. The firm has over 300 staff in the UK, Middle East, Australasia and Europe and has impressive plans for growth in 2024 and beyond. 

The Senior Manager will lead the compliance function in the UK and report into the Global Head of Compliance, based in the firms Dubai office. The firm values the compliance department hugely and it has a genuine seat at the table. 

They are looking for someone to lead the high level and strategic compliance projects and this individual will also be the key contact for the firms relationship with the FCA. 

There is so much to this role so the responsibilities below are really a brief snapshot of the role:

• Develop and implement strategic compliance initiatives.
• Serve as the primary point of contact for regulatory authorities.
• Conduct risk assessments and implement compliance controls.
• Provide guidance to internal stakeholders on compliance matters.
• Stay informed about regulatory developments and industry trends.

What do they need?

• Extensive experience in compliance within financial services.
• Strong knowledge of FCA regulations and compliance frameworks.
• Excellent communication and strategic thinking skills.
• Proven track record of managing regulatory relationships.
• Relevant professional certifications preferred.
• I think it's important to note here that the firm is looking for someone with a solutions driven approach to compliance 

So, what's in it for you?

• Work with one of the fastest growing, independent wealth management and advisory companies 
• Compliance and good governance is at the core of this business and the department has a voice within the firm
• Great salary and benefits package 
• Fascinating scope of work and at this level, it is the interesting and strategic compliance work 
• Help a business grow and scale up 

If you'd like to know more, don't hesitate to reach out.