An Asset Management business based in London that are looking for a Compliance Manager to join their business on an initial 12 month fixed term contract. Candidates should have a strong Compliance Monitoring background with experience within a Wealth & Asset Management business.
- Support the Senior Compliance Manager in undertaking the annual Compliance Risk Assessment Process and in formulating the Compliance Monitoring Programme covering the Private Client, Regulated Advice, Tax, Wealth Planning, Protection and Client Support teams
- Undertake compliance monitoring reviews, completing work to a high standard and in a timely manner identifying risks, providing feedback and advice to the relevant risk owners
- Assist in updating and enhancing the risk-based compliance framework to ensure adequate identification, assessment, communication, control and monitoring of compliance risks
- Provide technical advice, guidance and training on compliance matters of relevance to the Private Client, Regulated Advice, Tax, Wealth Planning, Protection and Client Support teams, obtaining guidance and assistance from the Head of Compliance and MLRO as required
- Assist the Head of Compliance with the Horizon Scanning process by pro-actively identifying and communicating regulatory changes, including FCA non-Handbook guidance, enforcement notices,
- Ensure that the Private Client, Regulated Advice, Tax, Wealth Planning, Protection and Client Support and Wealth Regulatory Support teams implement effective and compliant policies and procedures, systems and controls, and ensure they meet the required regulatory, risk management and governance standards
- Minimum 7 years Compliance experience, ideally from within a similar Wealth or Asset Management business.
- Strong Funds knowledge.
- Degree educated.
- Excellent communication skills, both written and oral.
Unless otherwise stated, candidates must have the right to work in the UK.
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