Compliance Advisory Manager - Wealth Management

My client is a leading Wealth Manager (offering advice to High Net Worth Individuals, Charities and Institutions) with offices across the UK. A new opportunity has arisen within the Compliance Advisory team.

The role will involve:

• Working closely with the business, providing advice and guidance on regulation and upcoming issues that may affect the business
• Keep up to date with regulatory developments and change, remaining aware of industry changes and monitoring competitor business trends
• Assist in creating firm wide new policies and procedures
• Provide regulatory input to a variety of projects
• Drive regulatory change and carry out gap analysis
• Assist in the production of regulatory updates for Financial Planning, Wealth and Asset Management.
• Develop training materials and assist in delivering training sessions
• Provide regulatory input on financial promotions and marketing activity
• Produce high level reports for senior stakeholders
• Respond to ad-hoc and routine regulatory queries

Previous compliance experience within Wealth Management, IFA, Private Banking or Asset Management is required.