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Compliance Manager - Wealth & Asset Management

Search Consultancy
Closing date
8 Dec 2021

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Contract Type
Full Time
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Search is currently working with a leading Wealth & Asset Management business based in central London who is looking for a Compliance Manager to join their team. The organisation is part of a global bank and offers local relationship banking, advice and investment management to personal and corporate customers.

The roles has come around as the organisation are developing a wider client offering, as well as continuing to advise their growing client base across the UK, and creating a separate in-house Authorised Corporate Director to enhance the governance and oversight of their multi-asset funds.

The main purpose of this role is taking ownership of the oversight and provision of advice and guidance on CASS, Data Protection and general compliance matters.

Some of your responsibilities will include:
  • Second line oversight of CASS, working closely with the first line CASS oversight team, including the responsible Senior Manager.
  • Oversight of Data Protection, working closely with the Data Protection Officer.
  • Provision of technical advice and guidance to the business on general compliance matters, including conflicts of interest, gifts and hospitality, complaints and financial promotions, obtaining support and assistance from the Head of Compliance when required.
  • Assist in the development and execution of agreed parts of the Compliance Monitoring Plan and identify risks, provide feedback, advice and MI to the business.
  • Review regulatory papers to determine their impact on the business and implement, or advise the business on implementing any changes required taking into consideration FCA guidance and industry best practice.
  • Delivery of relevant reporting and MI to inform Management of compliance risks and their status including reports to the Audit Risk and Compliance Committee, Management Group, Board and the wider Group.
  • Train and educate the business on compliance matters of relevance and, in particular, as regulations change or compliance risks are identified.
  • Support the Head of Compliance to implement and maintain an updated Compliance framework for the business.
  • Ensure the Compliance Monitoring Actions Log, Regulatory Events Log and Compliance Monitoring Programme are up to date and that they are appropriately risk rated.
  • Take ownership of the central conflicts of interest register, liaising with the business to ensure the register is kept up to date and that associated disclosure documentation is also updated.
  • Draft/ maintain Compliance owned policies and procedures including the Compliance Manual and the intranet.

We are looking for candidates with:
  • Proven experience of CASS compliance in particular, with strong generalist compliance knowledge.
  • Experience of data protection oversight and an understanding of GDPR are desirable but not essential.
  • The ability to understand and communicate technical information in a way that is easy for others to understand is essential, as is the ability to interpret FCA regulations and other such communications.
  • Self-starter who is not afraid of taking responsibility and who is able to work both independently and in close collaboration with others.
  • Ability to build rapport and strong relationships quickly and be able to maintain and build on those relationships over time, becoming a trusted partner to the business.
  • Educated to degree level or equivalent preferred but not essential
  • CISI IAQ / IOC, Investment Compliance Diploma or other compliance qualification from the International Compliance Association (ICA) would be useful


Group personal pension scheme, private medical insurance, life insurance, income protection insurance, preferential staff rates, 25 days holiday, season ticket loan, long term profit sharing scheme
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