A niche Wealth Management firm based in London are looking for an Compliance Manager to join their business.
- Responsible for second line oversight of CASS, working closely with the first line CASS oversight team, including the responsible Senior Manager.
- Responsible for oversight of Data Protection, working closely with the Data Protection Officer.
- Responsible for providing technical advice and guidance to the business on general compliance matters, including, but not limited to, conflicts of interest, gifts and hospitality, complaints and financial promotions, obtaining support and assistance from the Head of Compliance when required.
- Required to assist in the development and execution of agreed parts of the Compliance Monitoring Plan to a high standard and in a timely manner identifying risks, providing feedback, advice and MI to the business as relevant.
- Responsible for reviewing relevant regulatory papers to determine their impact on the business and implement, or assist and advise the business on how to implement, any changes required taking into consideration FCA guidance and industry best practice.
- At least 4 years generalist compliance experience from within a similar Wealth Management firm with some CASS exposure
- Excellent verbal & written communication skills.
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