Compliance Manager – Wealth Management

THE COMPANY:

Our client is a successful UK-based wealth management firm, focused on providing top-quality wealth management services to retail and professional clients.

THE RESPONSIBILITIES:

• Providing advice and answering queries from the business.
• Oversee and manage the Compliance Monitoring Programme to ensure business activities comply with internal policies and regulatory requirements.
• Execute second-line monitoring and surveillance activities in line with the Compliance Monitoring Programme.
• Deputise for the Compliance Officer as required.
• Assist with leading the team on a day-to-day basis, overseeing compliance staff members assisting them with their development and answering queries etc.
• Support the development, implementation, and ongoing monitoring of the firm’s compliance policies, procedures, and control framework.
• Conduct periodic compliance reviews, including surveillance of investment advisory activities, marketing materials, and client communications.
• Monitor employee conduct, including personal account dealing, gifts and entertainment, and conflicts of interest.
• Prepare monthly compliance reports for senior management and the board.
• Conduct transaction reporting, including reconciliation, monitoring, and submissions related to third-party, institutional, and principal trades.
• Maintain and monitor the Insider Register and assist with market abuse surveillance.
• Conduct internal investigations related to compliance issues and recommend corrective actions where necessary
• Best-ex surveillance.
• Undertake Training & Competence Reviews.
• Provide compliance support for client onboarding from an AML/KYC perspective, including periodic reviews.
• Perform TR1 shareholding calculations and draft submissions to the FCA.
• Oversee and respond to queries in the compliance and approvals inbox.
• Participate in client service reviews, due diligence meetings, and related projects.
• Conduct internal investigations into compliance issues and recommend corrective actions where appropriate.
• Assist in the maintenance and updating of compliance manuals, policies, and training materials.
• Identify and implement opportunities to improve compliance processes as the firm grows.
• Provide ad hoc operational support as required.

EXPERIENCE REQUIRED:

• Minimum of 5 years’ compliance experience within a Wealth management firm. Advisory/generalist experience
• Relevant compliance certifications (ICA, CISI, etc.) preferred.
• Solid working knowledge of the FCA Handbook, particularly COBS, SYSC, Consumer Duty and AML regulations.
• Experience with transaction reporting, monitoring programmes, and regulatory filings is highly desirable.
• Strong understanding of financial services governance structures and risk frameworks.

For further information please contact Hannah Tabatabai