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Compliance Manager - Wealth/Asset Management, London (City of London)
Client: Morgan McKinley
Location: London (City of London), United Kingdom
Job Category: Other
EU work permit required: Yes
Job Views: 3
Posted: 22.08.2025
Expiry Date: 06.10.2025
Job Description:
Our client is a dynamic Wealth Management firm, committed to delivering exceptional client service through integrity, innovation, and professionalism.
We are currently seeking a full-time, experienced Compliance Manager to join our growing team and ensure our operations remain fully compliant with applicable laws, regulations, and internal policies.
This is an exciting opportunity for a compliance professional with a strong background in Wealth Management, looking to advance their career in a fast-paced, collaborative environment. We are recruiting for a CISI Compliance Diploma or equivalent qualified Compliance Manager experience in a similar role.
Key Responsibilities
* Providing advice and answering queries from the business.
* Overseeing and managing the Compliance Monitoring Programme for the firm to ensure business activities comply with internal policies and regulatory requirements.
* Executing second-line monitoring and surveillance activities in line with the Compliance Monitoring Programme.
* Deputising for the Compliance Officer as required.
* Assisting with leading the team on a day-to-day basis, overseeing compliance staff members, assisting them with their development, and answering queries.
* Supporting the development, implementation, and ongoing monitoring of the firm’s compliance policies, procedures, and control framework.
* Conducting periodic compliance reviews, including surveillance of investment advisory activities, marketing materials, and client communications.
* Monitoring employee conduct, including personal account dealing, gifts and entertainment, and conflicts of interest.
* Preparing monthly compliance reports for senior management and the board.
* Conducting transaction reporting, including reconciliation, monitoring, and submissions related to third-party, institutional, and principal trades.
* Maintaining and monitoring the Insider Register and assisting with market abuse surveillance.
* Conducting internal investigations related to compliance issues and recommending corrective actions where necessary.
* Undertaking Training & Competence Reviews.
* Providing compliance support for client onboarding from an AML/KYC perspective, including periodic reviews.
* Performing TR1 shareholding calculations and drafting submissions to the FCA.
* Overseeing and responding to queries in the compliance and approvals inbox.
* Participating in client service reviews, due diligence meetings, and related projects.
* Conducting internal investigations into compliance issues and recommending corrective actions where appropriate.
* Assisting in the maintenance and updating of compliance manuals, policies, and training materials.
* Identifying and implementing opportunities to improve compliance processes as the firm grows.
* Providing ad hoc operational support as required.
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