Compliance Manager (Wealth Manager)

  • £40-60,000 Fixed Term Contract
  • Bristol, England, United Kingdom
  • Contract, Full time
  • Grovelands Resourcing Limited
  • 16 Sep 16

A leading provider of wealth and investment management services to private clients, professional advisers, charities, corporates and institutions. The Group provides a range of financial products and services to over 10 million clients globally and is listed on the Stock Exchange. Based in their offices in Bristol; we are currently looking for a Compliance Manager for a 6+ month Fixed term contract.

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 wealth management business on compliance issues, identifying and managing existing and emerging regulatory and compliance risks.
  • You will be expected to maintain a thorough knowledge of all legislative, technical (product) and regulatory changes relating to Wealth Management and take steps to ensure that systems and controls are put in place to ensure our compliance with those requirements.
  • Success in this role will be measured through your ability to provide timely compliance advice and guidance to the Wealth Management business; with new regulatory compliance requirements implemented when due and business initiatives implemented in a compliant manner
  • You will also assist in minimising regulatory risk to the Wealth Management business through ensuring robust systems and controls are maintained and followed, minimising the likelihood of material FCA/PRA rule breaches occuring.

Skills and experience

  • Successful candidates are likely to demonstrate the following:
  • Extensive experience in Compliance within financial services (in-house or consultancy) preferably in a retail investments and discretionary management environment.
  • Experience of implementing regulatory change.
  • Degree and/or Professional Compliance/Regulatory Qualification e.g. Diploma in Compliance and/or Diploma in Financial Planning or be working towards this.
  • Proven understanding of the regulatory environment, particularly FCA Systems & Controls and Conduct of Business regulation, especially Suitability.
  • Strong appreciation of Compliance and Conduct 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.