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Compliance Manager, Wealth Management


Compliance Manager, Wealth Management


A true leader and innovator within wealth management is looking to add to their growing Compliance function by bringing in a Compliance Manager.

Reporting to the Director Compliance Oversight you will be providing support by taking responsibility for the design and implementation of a robust compliance programme that will cover the supervision and monitoring of compliance.

As Compliance Manager you will be responsible for the day-to-day man-management of staff within the compliance function including their training and development. Additionally you will ensure that the appropriate level of monitoring of all appointed representative firms (and connected individuals) are carried out and that the outputs of this monitoring is recorded. Furthermore you will be responsible for ensuring all financial promotions are compliant before use and checked periodically thereafter. Finally you will also be required to complete Ad-Hoc duties presented by the Director Compliance Oversight.

To be considered for this role it is essential you have the following:

* Competent / knowledgeable in all areas of compliance applicable to Personal Investment, Insurance and Mortgage Intermediary Firms
* Working knowledge of FCA Handbook specifically in relation to COBS/ICOB/MCOB
* Relevant qualification, preferably UK regulatory compliance level 4 or above
* Membership of a professional body

Please quote <45952> when calling Stephen at Alexander Lloyd or email them at 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, MLRO etc. across the entire financial services sector; including investments, wealth/asset management, insurance and FX. We offer resourcing solutions - both in executive search and contingent recruitment - across the whole of the UK.

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 for any other roles which may be of interest.

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