Compliance Manager | Wealth Management - JN-092026-7098892

Client-facing Compliance Manager opportunity in a reputable wealth manager.
Strong culture and healthy work-life balance with excellent career development.

About Our Client

A leading international wealth and asset management business providing private banking, asset management and financial planning services to individuals, families and institutional clients. The firm has a long-standing reputation for prudent risk management, client service excellence and strong regulatory standards.

Job Description

Provide regulatory guidance and compliance support to key business stakeholders across investment and wealth management activities.
Delivery of risk-based compliance reviews, thematic assessments and control testing across various business areas.
Monitor regulatory developments and help assess the impact of changing requirements on policies, procedures and business practices.
Support senior compliance colleagues with compliance risk assessments, governance matters and ongoing regulatory initiatives.
Build strong relationships with stakeholders to promote a proactive and commercially focused approach to compliance.
Contribute to wider compliance projects, training initiatives and continuous improvement of the firm's compliance framework.

The Successful Applicant

6+ years' compliance monitoring, oversight or advisory experience within wealth management or financial advice.
Strong knowledge of FCA regulations, including COBS, Consumer Duty, SMCR and conduct risk frameworks; experience with FCA advice assessment methodologies is advantageous.
Self-motivated and proactive, with the ability to take ownership, work independently, collaborate effectively with colleagues, and support the development of junior team members.
Investment Advice / Financial Planning qualification essential (CISI, CII, etc)