Compliance Monitoring- Wealth Management/private

Job Description Handelsbanken Wealth & Asset Management is a wholly-owned subsidiary of the Handelsbanken Group and is responsible for all wealth and investment management activities of the Group in the UK. Founded in Sweden, Handelsbanken is one of the world's strongest banks and offers local relationship banking, advice and investment management to...

Compliance Monitoring ManagerAsset/Wealth Management Experience RequiredOur client, a boutique wealth manager and part of a larger global banking Group, is seeking a Compliance Monitoring Manager. This role involves planning and leading monitoring activities as part of the compliance monitoring programme. Reporting to the Senior Compliance Assurance Manager,...

Your mission:Your career is our priority.Do you have entrepreneurial spirit?Do you have unwavering drive and work ethic?Do you have a strong motivation to develop your business, natural interest, and understanding of developments in private wealth and investment management?We have extensive experience in developing individuals from an employed role and...

About the job:Are you Level 4 qualified but don't have any experience Advising clients yet?Perhaps you have started your Level 4 but haven't finished all of your exams yet.Well, we now have an opportunity to join our team as an Associate Advisor. This role will support you not only to complete your Financial Planning exams, but will give you the opportunity...

Since establishing in 2006, Clearwater Wealth Management (CWM) has helped people and businesses achieve their lifelong ambitions through high quality financial advice. CWM has supported over 110 talented young people who at the time, were struggling to find an opportunity in wealth management to build a career. James's Place Wealth Management (SJP) operating...

Are you an ambitious professional who is passionate about delivering great client outcomes?Since establishing in 2006,Clearwater Wealth Management (CWM)has helped people and businesses achieve their lifelong ambitions through high quality financial advice.CWMhas supported over 110 talented young people who at the time, were struggling to find an opportunity...

Are you an ambitious professional who is passionate about delivering great client outcomes?Like the look of this opportunity Make sure to apply fast, as a high volume of applications is expected Scroll down to read the complete job description.Since establishing in 2006, Clearwater Wealth Management (CWM) has helped people and businesses achieve their...

Compliance Monitoring Manager London Wealth and Asset ManagementStrong experience within FCA regulation and compliance with specific focus on the Wealth and Asset Management sector. Exposure to compliance risk management frameworks, thematic reviews and the FCA handbook are essential. Hybrid working as standard. A small but growing team. Compliance...

Associate Wealth Manager – AAG Wealth ManagementAAG Wealth Management, one of SJP's most successful Partners, are looking to grow their team with an Associate Wealth Manager. Given their continued expansion plans, AAG are looking for an individual who is seeking a structured way of entering financial advice whilst requiring training to reach their...

Job Title: Compliance Monitoring Manager – Asset/Wealth Management Company: Boutique wealth manager and part of a larger global banking Group Responsible for delivering the annual compliance monitoring programme by planning and leading monitoring activities Input into the annual Compliance Risk Assessment Process and Monitoring Programme Identifying...

The Client: Our client is a well established European bank with a presence in London. Specialising in corporate/wholesale banking they have built a strong client base. Ensure compliance policies and procedures are applied at all levels of the organisation within the regulatory framework. Oversee and maintain Compliance Plan that will effectively monitor the...

Compliance Monitoring Manager – Asset/Wealth Management (or ACD) Monitoring Experience Required 70K - £80K + Good Benefits Hybrid (West End) Our client, a boutique wealth manager and part of a larger global banking Group, is looking to recruit a Compliance Monitoring Manager. You will be responsible for the delivery of the annual compliance monitoring...

Purpose of the Job: Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our client and their families and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to others, we are small (

Job Title: Compliance Monitoring ManagerWe are looking for a Compliance Monitoring Manager for a role in Wealth and Asset Management based in London with a hybrid work model. The salary ranges from £75,000 to £85,000 per year. The ideal candidate should have strong experience in FCA regulation and compliance, particularly focusing on the Wealth and Asset...

Your missionPrivate Client Associates play a pivotal role in supporting our Advisers through the delivery of suitability reports and the acquisition of prospective clients. Every advice event requires an SJP compliant advice set and PCAs (Private Client Associate) are crucial 'quality control' gatekeepers . They position our service to prospective clients...

Join a Leading Private Bank as a Compliance Monitoring Officer Ready to apply Before you do, make sure to read all the details pertaining to this job in the description below.FRENCH OR GERMAN LANGUAGE SKILLS REQUIREDAbout the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized...

Bovill is a global financial services regulatory consultancy with offices in London, Singapore, Hong Kong, and the Americas. We work with clients internationally on every element of regulation. We help firms build projects to respond to significant regulatory change or give them peace of mind they're doing the right thing.:Position:Our Wealth practice...

NEW ROLE - Compliance Monitoring ManagerInside IR35ASAP StartExperience: Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market Experience of compliance oversight/assurance activity, risk assurance or internal audit Relevant governance, risk management and control expertise Relevant knowledge of the regulatory...

Bovill is a global financial services regulatory consultancy with offices in London, Singapore, Hong Kong, and the Americas. We work with clients internationally on every element of regulation. We help firms build projects to respond to significant regulatory change or give them peace of mind they're doing the right thing. Bovill is now part of Ocorian, the...

Private Wealth Management (PWM) Goldman Sachs Private Wealth Management (PWM) specializes in creating comprehensive wealth management plans for ultra high net worth individuals and families, as well as select institutions, including foundations and endowments. PWM Teams work one-on-one with clients to advise and deliver customized strategies drawn from...