Compliance Manager

2 weeks ago


London, Greater London, United Kingdom Compliance Professionals Full time

Our client, a prestigious private wealth firm based in the West End, is seeking a Compliance Manager to join their team on a 12-month fixed-term contract. The successful candidate will be responsible for ensuring compliance-related directives, policies, and procedures remain up-to-date. This will involve assisting staff with the interpretation of rules and developing a positive compliance culture. The Compliance Manager will also be responsible for maintaining standards of regulatory risk management, approving new financial promotions, and owning the complaints handling process. Additionally, they will lead on investigating breaches, oversee testing reviews, and complete tests and draft results and review write-ups. The ideal candidate will have extensive experience working in a financial services industry compliance department, covering private banking and wealth management activities. They will also have experience producing compliance risk assessments and monitoring plans, as well as a proven track record of report writing on the results of compliance monitoring and testing. If you are a seasoned compliance professional looking for a new challenge, please apply.


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