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Regional Compliance Manager, Wealth Management


Regional Compliance Manager, Wealth Management


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 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.

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


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This role can be summarised simply as "growing financial planning business are actively looking for a Head of Compliance; to both lead their Compliance function, and provide sound advice to senior stakeholders on all manner of Compliance issues as the business continues with their exciting... More