Head of Compliance - Private Wealth Management

  • Highly Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • LMA
  • 21 Jan 18 2018-01-21

This young innovative and highly successful wealth manager oversees a billion dollar asset base from centrally located London offices. It can offer a collegiate and collaborative working environment and a first-class compliance culture

The Head of Compliance role will report into the COO

You will either be able to hold the titles of joint CF10/11 for the UK (and CCO for the US) from the start or be able to demonstrate an ability to promptly develop into these regulated positions 

A full and detailed specification is available upon request however the key responsibilities will include inter alia:

*Maintaining and developing a robust compliance culture

*Liaising with the regulatory authorities

*Ensuring the highest possible regulatory standards are held-  FCA and SEC

*Management of a small team

*Liaising with senior internal stakeholders

*Oversight of distribution activities – including financial promotions

Experience

*Ideally you will be degree-educated with a minimum of six years compliance experience

*Wealth management compliance experience is essential

*Previous compliance and ant-financial crime experience

For a full and detailed briefing:

Please call Fergus Hooley on 0207 246 1991

or

email : Fergus.hooley@lmarecruitment.com