Compliance Advisory Manager (Wealth management)

5 days left

Redland Search
02 Feb 2017
02 Mar 2017
Contract Type
Full Time


This organisation is a leading provider of wealth and investment management services to private clients, professional advisers, charities, corporates and institutions. Combined, it manages almost £10 billion of client assets from 13 offices across the UK, employing c.500 professionals.

We are part of a global Financial Services Group, the global AA-rated financial services group that was established a century ago. The Group provides a range of financial products and services to over 10 million clients globally. It has attained its size, strength and reputation by providing a high quality, personalised service to clients, whatever their stage of life or financial ambitions.

Based in our offices in London; we are currently looking for an experienced Compliance Advisory Manager.

The Role:

Your role will be to support the Head of Advisory Compliance (Wealth Management & Financial Planning) in providing regulatory and technical advice and expertise to the group on compliance issues relating to Wealth Management, identifying existing and emerging regulatory and compliance risks.

You will be expected to maintain a thorough knowledge of all legislative, technical (product/fund/investment) and regulatory changes relating to Wealth Management (especially operations requirements) and take steps to ensure that systems and controls are put in place to ensure compliance with those requirements.

Success in this role will be measured through your ability to build and provide meaningful MI, provide advice & support to the UK Group on Wealth Management issues, especially on trading and Discretionary Management, by means of group presentations and training, emails & updates, telephone support etc

This role will give you a great opportunity to become the subject matter expert in Best Execution, Client Order Handling, Trading, Transaction Reporting, Introducer due diligence, Conflicts of interest, Portfolio Construction, Management & Turnover, Portfolio Manager file standards and record keeping.

Skills and Experience:

Successful candidates are likely to demonstrate the following:

  • Degree and/or Professional Compliance/Regulatory Qualification (e.g. Diploma in Compliance and/or Diploma in Financial Planning. (However, an individual with an operations background in DFM and/or fund management would be considered as long as they were prepared to work towards professional qualifications).
  • Extensive experience in Compliance or Operations within financial services (in-house or consultancy) preferably fund management and/or discretionary management environment.
  • Regulatory change experience would be an advantage.
  • An understanding of the regulatory environment, particularly FCA systems & controls and conduct of business regulation.
  • Strong appreciation of Compliance and Operational Risk and how these are embedded within a business.
  • Ethical, principled, analytical and diligent.
  • Well organised, self-motivated and proactive.
  • Good communication and IT skills.