Compliance Advisory Manager

Description:

Our client, a boutique wealth manager and part of a larger global banking Group, is looking to recruit a Compliance Advisory Manager. You will be responsible for developing and maintaining a detailed knowledge of appropriate legislation, regulations and guidance published by UK regulatory bodies relating to wealth & investment products and services offered by the Group. Reporting to the Deputy Head of Compliance, duties will include;
 

• Regulatory horizon scanning, ensuring regulatory knowledge is up-to-date and compliance expectations and standards are clearly disseminated and articulated with the business and Compliance colleagues, both verbally and in writing.
• Supporting in implementing and updating departmental frameworks, procedures, guidelines, and templates, including ensuring they are well maintained.
• Working with 1LoD to design and implement controls to meet regulatory expectations.
• Working with the wider 2nd line assurance function to consider regulatory risks and supporting the Regulatory and Advisory Team Lead in preparing reporting and Management Information for senior management and governance committees.
• Providing information to third parties when requested, including the FCA, government authorities, external & internal auditors and Depositary or any other third-party service provider
• Mentoring more junior members of the team.
  
   

You should have gained at least 5 years compliance experience with a Wealth Manager, Retail Investment Manager or Compliance Consultancy, with a solid knowledge of regulatory process & requirements within the wealth/investment management sector and thorough understanding of the FCA Rules especially around Collective Investment Scheme