FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Compliance Manager / Business Partner - Wealth Management

My client, a Wealth Management firm, are looking to recruit a dynamic individual to act as a Compliance Business Partner, working proactively to facilitate its growth in compliant a manner, while mitigating and preventing or controlling identified risks. A proactive, solutions-based approach is essential.

JOB TEXT

My client, a Wealth Management firm, are looking to recruit a dynamic individual to act as a Compliance Business Partner, working proactively to facilitate its growth in compliant a manner, while mitigating and preventing or controlling identified risks. A proactive, solutions-based approach is essential.

The company combines disciplined investment management with financial, tax, pension and retirement planning to customers on a nationwide basis. The compliance team advises the business on regulatory matters, financial crime risks as well as monitoring for risks and issues.

Main responsibilities:

* Responsibility within the Compliance function for the provision of advice, support, training and guidance on regulatory matters.
* Formulating solutions for the business, which ensure regulatory compliance in a pragmatic, business-friendly manner.
* Ensure an effective Compliance culture whilst proactively supporting the business as the firms Compliance Business Partner.
* Review regulatory papers to determine their relevance and impact on the business and implement, or assist in and advise on the implementation of, any changes required, focusing on FCA guidance.
* Working with the Monitoring Manager to assist in addressing actions arising from monitoring action plans.
* Escalate any regulatory risks to the Head of Compliance or others appropriately.
* Monitor outside developments in the wider financial services sector and proactively share best practice.
* Record exceptions, breaches, near-misses and compliments and monitor and report on these.
* Review and approve financial promotions in a timely manner.
* Undertake regulatory due diligence on third parties, if required.
* Make, assist with or supervise required reports to the regulator.
* Maintain and monitor an efficient and compliant system for the handling of complaints.
* Monitor and sign off all aspects of new client documentation.
* Liaise with the Compliance and Risk Control teams of the company as appropriate.

Required Experience:

* Strong stakeholder management skills and previous expertise working closely with the front office in an advisory capacity.
* Excellent knowledge of regulatory process and requirements within the wealth management sector.
* Thorough understanding of conduct risk principles and processes.
* Proven experience within the wealth management sector.
* Ability to assess risk to the business and to escalate where required.
* Confidence to liaise with staff and external parties, including the regulator, at all levels.
* Extensive advisory compliance experience, with evidence of balancing regulatory requirements with commercial pressures.

The Compliance Practice at Charles Levick support Permanent, Contract and Interim recruitment specialising in requisitions ranging from entry level Compliance Assistants through to Senior Level Appointments. Our focus spans Financial Services to include both Buy and Sell side Capital Market organisations, Private and Wealth Management, Insurance, Life and Pensions, Consultancy and Third Party Market providers.

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
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  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 19 Feb 18