Compliance Manager - Private Bank /Wealth Management

Posted 5 April by MERJE Ltd Easy Apply

Our Client

Our client is a well-regarded, fast growing and entrepreneurial financial services organisation who provides private banking, wealth management and financial planning from their various offices across the UK. An newly created role has arisen for a Compliance Manager to support in advising the business across new regulatory initiatives and promoting a strong compliance culture, ensuring that regulatory and conduct risk is managed effectively.

The Role

Working closely with the Head of Compliance, the project management team and other team stakeholders as needed, you will be responsible for:

  • Acting as the compliance support in relation to the Investment management, banking and fund management business.
  • Undertaking and coordinating review and dissemination of new regulations in order to convey change requirements necessary in the business
  • Supporting training initiatives for the Company as a whole, working with HR and others to develop a compliant, business-oriented culture.
  • Undertaking thematic and specialist reviews across the business in respect of specific regulatory topics and issues as they arise when necessary.
  • Assisting in the identification of gap analysis and implementation of relevant regulatory measures and industry guidance pertaining to the regulated activities of the Company.
  • Developing own professional expertise through on the job training, formal training and, where appropriate professional qualifications
  • Supervising, guiding and supporting junior members of the team to build their knowledge and confidence in delivering their objectives

Key Requirements

  • Broad Compliance advisory experience gained within a Private Banking or Wealth Management business
  • Policy / Advisory / Monitoring or Audit background
  • Strong stakeholder management experience
  • Team management experience
  • Strong communication skills - written and verbal

Required skills

  • Compliance
  • Investment
  • Risk

Reference: 33762892

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