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Compliance Manager - Wealth Manager/Family Office

  • Location: London
  • Sector: Compliance
  • Salary: £45000 - £70000 per annum
  • Job type: Permanent
  • Date posted: 12/09/2018
  • Job reference: 90135

A brand new role with a collegiate and incredibly successful wealth manager

Risk and Compliance Manager reporting to the Head of Risk and Compliance (CF10 and CF11).

Assisting the Head of Risk and Compliance and standing in when required

Providing regulatory support to the London office

Assisting with completion of the risk-based annual Compliance Monitoring Programme Understanding, Identifying, reviewing and assisting in managing the impact of new regulatory developments pertinent to the firm.

Delivering training to the firm's employees regarding their regulatory responsibilities. Actively support and advise the Business and Senior Management on the relevant Regulatory developments and requirements

Assist with the creation, provision and development of management information

Assist with development, maintenance and enhance the compliance policies, procedures, processes and ensure Compliance Manual is updated

Review AML requirements and assist in the implementation of AML systems and controls

Review Financial Promotion

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