Due to continued success in delivering bespoke Wealth Management Solutions to a range of HNW clients, this innovative and Wealth Management firm is seeking to recruit an accomplished Compliance professional to join their business.
Your role will be to provide Compliance leadership and oversight of the Wealth operations of the business. You will have prime responsibility for regulatory compliance, anti- money laundering and risk management functions, assuming CF10 & 11 roles with additional SM16 and 17 responsibilities. You will ensure that the business has effective systems, procedures and controls for compliance with requirements and standards under the regulatory system, including risk management, anti-money laundering and data protection and oversee the notification and reporting requirements.
You will be responsible for the maintenance of documented and effective compliance procedures consistent with internal standards, business goals and attitude to risk. In addition, you will be responsible for the analysis and assessment of regulatory developments, and their effective implementation in line with the needs of the business.
You will improve where necessary, the Compliance Manual and Compliance Monitoring Programme in respect of all activities in relation the operation of Compliance and assess any issues identified or raised from a control, commercial and regulatory perspective and work with operational management to ensure all issues are resolved promptly. Additionally, you will design and implement changes to scope or focus of reviews where new risks have been identified and ensure all registers necessary to demonstrate compliance with FCA regulations are created, completed and kept up to date.
Applications are invited from skilled Compliance professionals who can demonstrate in depth knowledge of process and procedures gained within a Wealth Management environment. You will have extensive regulatory knowledge and understanding and be able to communicate effectively at all levels, both internal and externally. It is important that you have a pragmatic and commercial approach whilst maintaining the regulatory integrity of your role.
This is an excellent opportunity to join a progressive and ambitious firm where your endeavours are recognised and rewarded.
Compliance, Monitoring, Wealth Management, IFA, Investments
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