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.