Compliance Manager (Wealth Management)

Frustrated in a business with no clear desire or plans for growth?Is it time to join a business as ambitious as you?This wealth management firm has ambition, there’s no doubt about that. Although still a small firm, they are geared for substantial growth, both organically and through acquisition. That growth has created this role, and will no doubt create other opportunities in the future.It’s a great time to join and this could be the start of a very interesting journey for you.Supporting the Head of Compliance, you’ll use your Wealth Management compliance experience to provide group-wide compliance advice, guidance and support at all levels. You’ll work closely with 1st line (including a current team of 10 advisers) to ensure compliance with all relevant FCA and PRA regulations.You’ll also support the execution of the firm’s T&C scheme, promote compliance awareness at all levels through training and regulatory updates and help ensure the firm meets all Consumer Duty requirements.You’ll have gained strong Compliance experience in a Wealth Management environment and will be able to act as a ‘critical friend’ to the business, providing constructive challenge as and when required. You’ll also ideally be CII Level 4 Diploma qualified although exceptional candidates yet to achieve full qualification will also be considered (and the business will support you to achieve this qualification).Interested?Click apply.Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at
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We’ll pick it up from there.Send me alerts about jobs like this.Please enter your email address to continue setting up an email alert for similar jobs to this one. By entering your email address and clicking apply you will sign up to Jobs4 and agree to our terms and conditions .Job OverviewID:1089724Date Posted:Posted 1 day agoExpiration Date:06/05/2024Location:DoncasterCompetitiveSend me alerts about jobs like this.Please enter your email address to continue setting up an email alert for similar jobs to this one. By entering your email address and clicking apply you will sign up to Jobs4 and agree to our terms and conditions .ShareComplete the form below to send this job to a friend.Job LocationComplete the form below to report this job.
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