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Job Description

Experience working for a UK Wealth Management business required.

Senior Compliance Advisory Manager - Wealth Management

Primary responsibility for supporting the Head of Compliance / MLRO in all aspects of compliance across the business, including providing day-to-day technical compliance advice to the 1st line business and operational teams.

Key Responsibilities

Provide compliance advisory services to both the financial planning and investment management business units. Assist in drafting, developing and maintaining compliance suite of policies in line with regulatory requirements and developing and implementing appropriate training for embedding within the business. Support delivery of the business acquisition strategy and ensure compliance is represented on all acquisition projects. Support the management of any incidents/risk events, including the centralised record of all incidents, errors, breaches following up on root cause analysis, trend analysis and recommending control enhancements and appropriate escalation, where required. Review and sign off financial promotions and other marketing collateral.

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