Compliance Monitoring Manager - Wealth Management

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Michael Page
  • 20 Sep 16

This Compliance Monitoring Manager (London, Financial Services) role sits in a leading, global, wealth management firm, offering both long and near-term investment strategies to their clients. This role requires an experienced compliance professional with solid compliance monitoring, audit or surveillance experience gained in a wealth management firm.

This Compliance Monitoring Manager - Wealth Management role (London, Financial Services) role sits in a global wealth management firm, offering portfolio management, stockbroking, investment funds and wealth planning.


Compliance Monitoring Manager - Wealth Management main responsibilities:

To develop, enhance and execute the compliance monitoring programmes for the Wealth Management entities in the UK and the Crown Dependencies (Guernsey, Jersey, Isle of Man).

  • Develop, manage, execute and report on the Wealth Management Compliance Monitoring programme including day to day surveillance routines, periodic monitoring, thematic reviews, and post implementation reviews following major regulatory initiatives or business change;
  • Effectively articulate and present findings/issues to Compliance and broader executive management;
  • Develop pragmatic recommendations to address issues identified and work with Compliance and other business areas to ensure they are implemented in a timely and effective manner;
  • Track recommendations to completion and escalate delays or inadequacies in implementation;
  • Provide meaningful, concise and timely management information to the Risk and Compliance Committee and other committees as required;
  • Work with Internal Audit and other risk/control functions to avoid duplication of effort.


This Compliance Monitoring Manager - Wealth Management role requires:

Qualifications, Skills and Experience The educational and professional qualifications, skills, systems knowledge and experience required to perform the role at the required level are detailed below:

  • Good knowledge and understanding of the Wealth Management industry;
  • Good compliance knowledge of at least one of the relevant jurisdictions and a willingness to quickly acquire knowledge of the others;
  • Relevant experience in Compliance with time focused on Internal Audit, Compliance Monitoring, Surveillance or similar role with good exposure to sampling and testing, and the interpretation of results;
  • Able to understand quickly business processes in order to design effective testing;
  • Experience of successful team management;
  • Strong interpersonal and communication skills
  • Ready to challenge and bring about change
  • Tenacious and persistent when presented with resistance

Job Offer

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