THE WEALTH MANAGER
A leading wealth manager is actively seeking a well-rounded compliance generalist. They are known for providing a tailored and fresh approach to wealth management for their individual client needs.
Their areas of expertise include portfolio management services, financial planning, services for intermediaries and their clients and discretionary portfolio services.
- Provide general regulatory guidance and advisory services to certain internal business areas, including Investment Managers, Wealth Planning, Business Development, the Centralised Investment Team
- Support projects ensuring compliance with regulatory and legislative requirements.
- Respond to ad-hoc queries and new business initiatives to enable line manager(s) to meet their regulatory requirements.
- Identify general regulatory and compliance risk issues including the review and assessment of FCA (and to some extent, the US SEC) regulatory updates/change in legislation.
- Ad hoc duties related to development of processes within the team, or the wider business which require compliance input, and any other specialist tasks.
- Assist with the development and implementation of Compliance and AML procedures.
- Assist in the planning and provision of training for staff in line with current and future regulatory requirements.
- Develop and maintain ongoing management information for the Management Board.
- Strong understanding of Wealth Management/Private Banking business gained through 3 plus years of experience in a similar role.
- Good knowledge and practical experience of FCA rules particularly COBS is essential.
- Good knowledge and practical experience of Financial Crime legislation and the JMLSG guidance is essential.
- Industry or professional Compliance qualification desirable.
- Highly benefit to have previous experience in a Compliance Generalist role
If you feel you have the relevant experience for this newly created opportunity, please apply to this advert and send your CV to Hannah Berihun at Twenty Recruitment.
Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance & Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.