My client, a prestigious wealth management company, are looking for an Assistant Director to join their busy core compliance function. In return for a solid generalist compliance background - including thematic reviews - my client can offer a fantastic opportunity to develop a career with a varied and in depth exposure across all aspects of compliance within wealth management. the main responsibilities of the role are as follows:

  • Client file reviews to regulatory standard
  • Execution of the Compliance Monitoring Programme to include thematic reviews
  • Business support in respect of client complaints
  • Maintenance and analysis of breaches
  • Maintenance of the gifts/entertainments and conflict of interest registers
  • Review and approval of financial promotions
  • Preparation and submission of regulatory reports when required
  • Support HR in respect of FCA registrations
  • Collation and preparation of of mamagement information for avariety of senior governance committees and the board

The successful candidate will possess the following skills and attributes:

  • Knowledge of the UK regulatory environment
  • Familiarity with wealth management services and products
  • Advanced stakeholder management skills
  • Ability to work effectively in a team environment
  • High quality system skills - Excel and Powerpoint
  • Analytical and with an eye for detail.

My client offers an attractive salary and benefits package and is committed to personal empowerment and development within the role. This is an exciting opportunity for an ambitious team player looking to develop their career in compliance with a leading wealth manager.

Full details are available upon application.