Compliance Advisory Manager - Wealth Management

Our client is a leading Wealth Management firm with a strong global presence. Due to expansion they are seeking a Compliance AVP to join their Advisory team in London. Key responsibilities and duties of the role are as follows;

• Provide front line compliance advisory support to the UK and global businesses.
• Ensure that prompt and timely advice is provided to the businesses.
• Resolve compliance advisory issues from the business in conjunction with other compliance colleagues.
• Review and ensure that global controls are fit for purpose and address current and future regulatory requirements.
• Ensure that an appropriate level of compliance monitoring is undertaken in respect of the core risks of the business.
• Carry out risk based reviews with the monitoring team, helping the business devise and close out on corrective action plans.
• Work with the product compliance team on new product sign off, ensuring that the business is fully briefed on the compliance implications of all new launches.
• Represent the compliance advisory function at business and project management meetings.
• Ensure compliance concerns are flagged to the business and all actions are followed through to completion.
• Participate in all regulatory projects that have a business impact, ensuring that changes are appropriately landed in the business e.g. TCF and RDR.
• Deliver new joiner induction training for all staff as well as delivering refresher training to all existing staff.
• Ad hoc projects as directed by management.

Ideally you be of graduate calibre and have at least three years private banking or asset management experience. It is also envisaged that you will have a deep knowledge of the UK regulatory requirements combined with a in depth knowledge of banking products. Lastly, it is desirable that you are a strong team player and able to communicate effectively at all levels

Please contact Clem Cull on 0207 065 1224 for further information.

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