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Regulatory Oversight Manager
2 weeks ago
MERJE Ltd has been retained by a prestigious discretionary wealth management business to find a seasoned Regulatory Oversight Manager. This is an outstanding opportunity to leverage your expertise in regulatory compliance to drive business growth and deliver exceptional client experiences.
You will be responsible for leading the Business Quality Unit, developing and maintaining the investment management file monitoring framework and associated procedures, conducting root cause analysis on identified issues and trends, reviewing and analyzing data from file monitoring to identify patterns and areas for improvement, and producing and presenting Management Information reports to the Chief Operating Officer and Business Manager.
This role requires strong project management skills, excellent communication skills, both written and verbal, and excellent report writing and presentation skills. In addition, you will need relevant file review/business assurance experience gained in a wealth or investment management environment, in-depth knowledge of UK financial regulations, particularly Consumer Duty, and a strong understanding of MiFID II rules as they apply to investment management.
Estimated Salary: £70,000 - £100,000 per annum.