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Compliance Manager Wealth Advisory

My client is a global financial Services client Due to an internal move, we are assisting in the recruitment of a Compliance Manager to operate across the wealth management business in an advisory capacity.


This is a role with heavy emphasis on relationships management as you will act as a partner to the business to deliver risk based, business and customer focussed support.

This will be pragmatic, consistent and technically accurate regulatory advice and oversight.

You will balance the delivery of strong regulatory compliance with commercial implementation and your ability to communicate and influence clearly and concisely will be key to your success.


You will have 1 direct report and will, act as a Deputy for the Department head as required.


Specific responsibilities will include:



  • Provide high quality conduct and compliance advice to support the company's business as usual and project related activities ensuring regulatory risks and issues are managed appropriately in accordance with the agreed risk appetites.

  • Working with the wider Compliance team you will support the business in the implementation of regulatory change through to delivery by providing subject matter compliance expertise.



  • Engage with the Senior Management, lead the dedicated Compliance resources and facilitate the relationship between Lines 1 and 2.

  • Provide oversight of regulatory risk within their business areas, highlighting risks and issues and ensuring these are managed appropriately.

  • Manage the day to day interaction with the dedicated Compliance resources ensuring that their activities and outputs are aligned to the local Compliance Officer.

  • Maintain and further embed the Risk Framework and associated MI & Reporting, acting as subject matter expert.

  • Work with the business and dedicated Compliance resources to ensure new and emerging conduct risks are identified and appropriate mitigations are implemented.

    Ensure that customer impacts are considered in key decision-making processes.



The role is between North London and the City with the role being based in North London.


The successful applicant must be able to demonstrate previous compliance advisory experience within financial services.

Wealth management experience is desirable but not compulsory.

Financial services experience is essential.



For more information please click to apply.


  • Duration: Permanent
  • Rate: £75000 - £80000 per annum + Car allowance, excellent benefit
  • Location: Watford, England
  • Type: Permanent
  • Industry: Other
  • Recruiter: Jefferson Tiley
  • Tel: 0845 4096195
  • Email: to view click here
  • Posted: 2020-01-09 16:27:15 -

  • View all Jobs from Jefferson Tiley