Compliance Manager

4 weeks ago

United Kingdom William Rose Associates Full time

William Rose Associates is working alongside a well-respected boutique Wealth Management firm, which is looking for an individual with advisory compliance experience to join the Compliance Team.

You will assist the Head of Legal and Compliance with all matters relating to the firm’s regulatory compliance function. This is an exciting opportunity to join a small, close-knit team building a dynamic, new, and fast-growing business.

Responsibilities:

  • Act as a trusted compliance partner to the business advising on a wide range of regulatory matters (firm and product level) and ability to act as deputy to the Head of Legal & Compliance.

Perform day-to-day compliance activities including:

  • Review, maintain and, where necessary, commission, the Firm’s compliance manual and policies ensuring adherence to prevailing FCA and other applicable rules; Implement any related compliance processes and procedures Firm-wide, appropriately escalating where necessary.
  • Submit periodic FCA regulatory filings, maintain compliance registers/calendars and generate compliance-related periodic reports, reviews and governance.
  • Complete compliance-related client due diligence questionnaires; Assign appropriate training to employees and conduct fitness & proprietary reviews.
  • Cooperate with the firm’s external compliance advisors and implement recommendations.
  • Perform oversight of AML/KYC checks and client classifications.
  • Support in providing vendor and investment screening.
  • Assess the impact of regulatory developments on the firm, as well as investment products, and liaise with external compliance consultants and external counsel where necessary.

Requirements:

  • At least five years relevant experience of the above in wealth management (experience in boutique firms a bonus).
  • Demonstrable experience of MiFID, AIFMD/UCITS, Financial Crime regulations, and SMCR.
  • Self-starter with good project management and a high EQ.
  • The role requires excellent commercial awareness and good judgment with responsibility for running processes across the broad Compliance needs of the company, liaising with and utilising external third-party advisors/platforms as required.

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