Senior Compliance Advisory Executive

Maldon Partners are recruiting a Senior Advisory Compliance Role on a permanent basis for a market leading Wealth and Investment Management firm based in London.

The firm offers discretionary Wealth Management to individuals and Families and also Institutional Asset Management and a range of UCITS Funds with an AUM $17bn AUM .

The role will report directly into the CCO and requires a candidate with solid experience of T&C Schemes and providing advice to the front office

Hybrid working 3 days in the office

The Role:

Working directly with the CCO the role holder will have a broad remit including but not limited to:

• Providing advice to the front office
• Supervise the T&C (Training and competency) for all financial advisors within the group
• Regulatory horizon scanning
• Regulatory Filings
• Staff training in areas including SMCR, Client classification
• Marketing material and financial promotion sign off
• Ad hoc project work

Experienced Required:

• Solid compliance experience gained within the Wealth / Investment Management industry
• Previous experience of T&C Scheme for financial advisors
• A good understanding of FCA rules and regulations
• SEC knowledge beneficial
• Financial advisory or compliance qualifications - Desirable
• Excellent Communication skills

Salary:

The Senior Compliance Advisory role has a base salary of c£85,000 - £100,000 depending on experience plus excellent benefits and bonus package

Hybrid working is also on offer

*Please note only candidates who meet the above criteria will be contacted