This job is no longer available.
You can view related vacancies or set-up an email alert notification when similar jobs are added to the website using the buttons below.

Regional Compliance Manager, Wealth Management

JO0000046259_1584715506

Regional Compliance Manager, Wealth Management

JOB DETAILS

This is a fantastic opportunity to join one of the UK's largest Wealth Management firms that has a number of dedicated business channels that includes Discretionary Fund Management, Wealth Management, Property Finance and Estate Planning.

Due to fantastic growth within the business they are looking to bring in a Regional Compliance Manager whose primary responsibilities will be to support the Group Compliance Director in maintaining and delivering effective monitoring of systems, controls and processes to safeguard the interests of our customers, advisers and the firms within the Group.

Within this role you will be expected to travel to various firms in order to maintain and deliver effective 2nd Line compliance monitoring framework on a regional basis, in line with Group expectation. Additionally you will provide compliance support to advisers and firms within the Group, including liaising with 1st line colleagues to secure positive outcomes

To be suitable for this role you must have the following:

* Experience working with FCA authorised securities and financial planning firms, ideally within a wealth management space.
* Working knowledge of Wealth Management activities with a distinct advantage of IFA practices.
* Level 4 Diploma is necessary within this role

This business has grown massively over the past 18 months and is expected to only continue doing so year on year. You will be joining this firm at a fantastic time and offers the successful candidate an excellent opportunity to establish themselves in a very successful firm. It is to be noted that this role can be based anywhere within Scotland, Wales and England due to the flexibility that it offers.

Please quote <46259> when calling Stephen at Alexander Lloyd or email them at syo@alexanderlloyd.co.uk. 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 www.alexanderlloyd.co.uk for any other roles which may be of interest.
 

This job has now been filled but you may be interested in:

 

Pensions Investment Consultant

Bristol
£50000 - £60000
Alexander Lloyd is partnered with an award-winning, recognised leader in the UK Pensions Consultancy industry that is currently recruiting an experienced Pensions Investment Consultant to join its growing team... More

Employee Benefits New Business Consultant

London, Bristol, Manchester
£45000.00 - £60000.00
If you have experience of selling to and advising corporate clients - big or small - on the Employee Benefit schemes for their staff - covering Risk, Healthcare, Pensions and Flexible Benefits arrangements - and you're looking to working for a growing, award-winning broker in the Employee Benefits field then this is the ideal role for you... More

Pensions Client Relationship Manager

Bristol, Birmingham
£55000.00 - £65000
One of the Largest Pensions Consultancies are now looking for an experienced Client Relationship Manager to join one of their Southern based offices on a permanent basis.Defined Benefit Pensions experience is an advantage, as are the APMI Qualifications.The successful candidate will be responsible for... More

JOB SEARCH

 
 
OR