An established specialist business in central London providing, holistic, independent advice on wealth management, employee benefits and financial planning for businesses and individuals.
This is an all encompassing Compliance manager role reporting directly into the MD of a business with c30 advisers based in both the central London office as well as individual located around the UK key responsibilities' will include but not be limited to:.
* To manage the firm's relationship with the regulator. * To ensure compliance with the legal & regulatory requirements by the firm. * To act as Supervisor for the Firm. * To act as Money Laundering Reporting Officer for the Firm. * To act as a member of the Management Committee. .
In order to succeed in this role you will need to be professionally qualified to CII Level Diploma status and have acquired the AF3 and RO8 papers (or be in the process of very close to achieving). You will have practical experience of working within a Financial/Wealth Advisory business in a compliance function. In addition experience gained through T&C supervisory, the MLRO function, undertaking and negotiating a PI renewal and Compliance supervision would general be seen as extremely desirable.
This is an established and stable business with an excellent reputation amongst it's clientele. You will be welcomed in to a warm and friendly working environment and have every opportunity to impart your experience and become a valued and business significant individual.
Please quote 40661 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.
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