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Compliance Manager, Wealth Management

Eximius Finance
Closing date
9 Aug 2021

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Contract Type
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Support the Head of Compliance (SMF 16) and MLRO (SMF 17) in providing regulatory advice, guidance and support to staff members including:
▪ Identifying and analysing relevant forthcoming regulatory change and working with relevant stakeholders to address this
▪ Disseminating key compliance messages, including through a monthly newsletter
▪ Developing and delivering compliance training material
▪ Preparing regulatory returns for the FCA and SEC
▪ Maintaining the suite of Compliance-owned policies and procedures
▪ Responding to day-to-day queries on a range of subjects

Experience, Skills and Competencies Required

▪ Previous experience working in a compliance/financial crime role with exposure to Wealth Management
▪ Well-developed influencing and persuasion skills
▪ Ability to present clear and concise information to a broad audience
▪ Significant problem solving and analytical skills
▪ Demonstrate a hands-on approach with the willingness to be adaptable and flexible when needed
▪ Excellent written and verbal communication skills, capable of working with people at all levels
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