A private client investment management PLC is currently recruiting for a newly created Compliance Advisory Manager to manage their Advisory Compliance team alongside the Compliance Monitoring Manager and the AML Manager and their associated teams.
Managing the team, you will provide advice and support regarding compliance with regulatory requirements, review policies and procedures and provide advice to the business on their application, review develop and deliver the compliance training programmes, review and approve financial promotions, attend internal committees on behalf of compliance, liaise with the regulator and auditors and oversee the production of Management Information for the Board.
To be considered for Advisory Manager role you will have gained generalist/advisory compliance experience at a senior level (with management/supervision of junior members) within wealth management, investment management or private banking (private client focused) and have excellent knowledge of the FCA handbook. Experience of COLL would be an advantage. A degree or CISI qualification is highly desirable.
This is a fantastic opportunity to join a well established and reputable company going through an exciting period of change and restructure. You will have the opportunity to create and shape the team and contribute to the ongoing success of the compliance department as a whole.
Please quote CDP1607-197 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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