Senior Compliance Manager – Financial Advice
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Senior Compliance Manager – Financial Advice
The chance to lead and shape Compliance operations for a start-up WealthTech.
This is a new venture for a well-established and highly successful investment manager, so you’ll get all the excitement and opportunity of working for a start-up with the security of being part of an established group.
Reporting into the Group Head of Compliance (SMF16), you’ll have plenty of autonomy to really shape Compliance Advice and Oversight for the Financial Advice arm that’ll be combining cutting-edge digital technology with personal financial advice to modernise wealth management.
And there’s a flexible working model with just 2 days a week in the firm’s London office.
What you’ll be doing
You’ll lead and shape Compliance for the Financial Advice arm of the business, ensuring advice is given in line with relevant FCA regulations and helping ensure positive customer outcomes.
You’ll provide independent guidance and challenge at all levels across the business, operating as the Compliance subject matter expert for Financial Advice.
You’ll undertake horizon scanning, advising senior management on any regulatory changes impacting the business as well as designing and implementing appropriate responses.
What you’ll need
You’ll be an experienced Compliance professional from the Wealth Management arena, with proven experience of providing oversight of Financial Advice.
You’ll be very familiar with the regulatory requirements impacting a Financial Advice business, including COBS, PROD and Consumer Duty.
You’ll also have a proven track record of working closely with and influencing senior management teams.
Interested?
Click apply.
Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on [contact hidden] for an informal chat or email me at [contact hidden]. We’ll pick it up from there.