Senior Compliance Manager

London (Central)
10 Apr 2019
26 Apr 2019
Contract Type
Full Time

Our client, a boutique wealth management company, are looking for a Senior Compliance Manager to join their Compliance Department on a permanent basis. The Senior Compliance Manager will be responsible for the Compliance Oversight of the review monitoring programme.

Key Accountabilities:

  • Responsible for the day to day management of the 'file review' monitoring programme
  • Regularly review regulatory requirements, making amendments to the monitoring programme as necessary
  • Ensure the file review monitoring programme is aligned to the risk management framework
  • Produce management reports for senior management on the file review monitoring program
  • Provide key management information on the quality of advice given by the firm, which will enable management to take relevant action to improve outcomes for clients.
  • Undertake one on one meetings with Advisors to provide feedback from reviews


  • Proven experience in a compliance role, within Wealth Management would be highly advantageous
  • Compliance Monitoring experience is essential
  • Strong knowledge of pensions (FCA advice and transfer requirements)
  • Detailed knowledge of FCA Handbook, particularly COBS
  • Professional qualifications (Level 6 chartered or pension transfer)

If you are interested in this Senior Compliance Manager role and possess the required skills and experience, then please submit your CV for consideration.

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