Compliance Executive - IFA - Wealth Management

My client is a well established Wealth Manager and DFM with an ultra high net worth client base in the sports and entertainment sector.

Due to expansion an additional compliance officer is sought to support the Head of Compliance and existing team.

You will be responsible for assisting in strengthening the governance and controls across the group.

Providing regulatory advice and guidance to staff

Provide input on regulatory projects

Carry out strategic reviews across the business

Conduct file checks and thematic reviews (including Pension, Mortgages, Investments etc)

Preparing management information and provide input into how procedures can be improved.

Identify training needs and assist Advisers with keeping their CPD records up to date

Arrange training and carry out the annual fitness and properness checks for Advisers

The ideal candidate will have Compliance experience within an IFA Wealth Manager.

Mortgage and / or Pension Qualifications would be an advantage.