Job Description
Compliance Manager – Wealth Management.
£100-120,000 + Package
Client - A leading International Wealth Manager who provides Wealth and Investment Management Advice to HNW private clients often with complex multi-jurisdictional requirements. They manage over £3 billion in AUM for private clients who have UK & International ties from the London office.
Role – Working with the Head of Compliance the role will have wide ranging responsibilities and duties including –
• Implementing and reviewing company compliance polies to ensure they are complicit with all relevant regulations.
• Review compliance monitoring reports resolving risk issues and design & implement annual compliance monitoring plan.
• Ensure the company complies with AML, Anti Bribery & Corruption, Financial Crime, Treating Customers Fairly, T&C and Vulnerable Clients procedures.
• Ensure the company is acting within the Financial Services & Marketing Act / FCA / FINRA rules at all times.
• Review of the T&C scheme
• Design and present compliance training.
• Provide technical guidance covering AML, KYC policies and regulations.
• Review high risk clients
• Approve financial promotions.
• Keep personally and the company up to date with all regulatory and legislative changes.
• Act as a m...