Role details

Compliance Monitoring Manager - Wealth Management

London   •  Permanent

Bullet points

  • This Compliance Monitoring Manager role sits in a Wealth Management firm
  • A senior monitoring/ audit professional required, offshore exp. beneficial

About Our Client

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.

Job Description

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.

The Successful Applicant

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

What's on Offer

Please enquire

Apply for this job

Click the Apply or LinkedIn button below or contact Heather Ninnes on +44 20 7776 5936 quoting job reference 13754460
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