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Advisory Compliance Manager (Wealth Management)

Information About This Job

Job Title: Advisory Compliance Manager (Wealth Management)
Contract Type: Permanent
Location: London
Salary: Up to £60K (dependent upon experience)
Contact Name: Mark Foy
Contact Email:
Job Published: about 2 years ago

Job Description

Based in London; our client is currently looking for an experienced Advisory Compliance Manager.


About The Company

The company leading provider of wealth and investment management services to private clients, professional advisers, charities, corporates and institutions. Combined, they manage almost £9 billion of client assets from 13 offices across the UK.

The firm provides a range of financial products and services to over 10 million clients globally and is listed on the Johannesburg Stock Exchange. They have attained their size, strength and reputation by providing a high quality, personalised service to clients, whatever their stage of life or financial ambitions.


About The role

Your role will be to support the Head of Advisory Compliance (Wealth Management & Financial Planning) in providing regulatory and technical advice and expertise to the company on compliance issues relating to Wealth Management, identifying existing and emerging regulatory and compliance risks.

You will be expected to maintain a thorough knowledge of all legislative, technical (product/fund/investment) and regulatory changes relating to Wealth Management (especially operations requirements) and take steps to ensure that systems and controls are put in place to ensure compliance with those requirements.

Success in this role will be measured through your ability to build and provide meaningful MI, provide advice & support to the firm on Wealth Management issues, especially on trading and Discretionary Management, by means of group presentations and training, emails & updates, telephone support etc

This role will give you a great opportunity to become the subject matter expert in Best Execution, Client Order Handling, Trading, Transaction Reporting, Introducer due diligence, Conflicts of interest, Portfolio Construction, Management & Turnover, Portfolio Manager file standards and record keeping.


Skills & Experience

Successful candidates are likely to demonstrate the following:

  • Degree and/or Professional Compliance/Regulatory Qualification (e.g. Diploma in Compliance and/or Diploma in Financial Planning. (However, an individual with an operations background in DFM and/or fund management would be considered as long as they were prepared to work towards professional qualifications).
  • Extensive experience in Compliance or Operations within financial services (in-house or consultancy) preferably fund management and/or discretionary management environment.
  • Regulatory change experience would be an advantage.
  • An understanding of the regulatory environment, particularly FCA systems & controls and conduct of business regulation.
  • Strong appreciation of Compliance and Operational Risk and how these are embedded within a business.
  • Ethical, principled, analytical and diligent.
  • Well organised, self-motivated and proactive.
  • Good communication and IT skills.

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