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Head of Compliance - Private Wealth Management

  • Location: London
  • Sector: Compliance
  • Salary: Negotiable
  • Job type: Permanent
  • Date posted: 21/01/2018
  • Job reference: 28233
This vacancy has now expired.

This young innovative and highly successful wealth manager oversees a billion dollar asset base from centrally located London offices. It can offer a collegiate and collaborative working environment and a first-class compliance culture

The Head of Compliance role will report into the COO

You will either be able to hold the titles of joint CF10/11 for the UK (and CCO for the US) from the start or be able to demonstrate an ability to promptly develop into these regulated positions

A full and detailed specification is available upon request however the key responsibilities will include inter alia:

*Maintaining and developing a robust compliance culture

*Liaising with the regulatory authorities

*Ensuring the highest possible regulatory standards are held- FCA and SEC

*Management of a small team

*Liaising with senior internal stakeholders

*Oversight of distribution activities - including financial promotions


*Ideally you will be degree-educated with a minimum of six years compliance experience

*Wealth management compliance experience is essential

*Previous compliance and ant-financial crime experience

For a full and detailed briefing:

Please call Fergus Hooley on 0207 246 1991


email :

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