Compliance Manager (Wealth Management)

  • Location:

    Manchester, Greater Manchester

  • Sector:

    Financial Services

  • Job type:

    Full Time

  • Salary:


  • Contact:

    Antonia Mihaylova

  • Contact email:

  • Job ref:


  • Published:

    4 months ago

  • Expiry date:


  • Startdate:


Compliance Manager
£50-70K + Benefits

I am pleased to work closely with a highly regard and successful Wealth Management organisation, operating mainly in the HNW and UHNW market, to assist with the recruitment of a Compliance Manager to join the team based in Manchester due to continued growth.

The successful applicant must have broad regulatory knowledge and understanding in all areas of compliance in order to guide and advise the company management accordingly.

The key duties and responsibilities associated with the role include:

* Acting as an ambassador to promote compliance awareness and good practice within the business
* Drafting, implementing & reviewing the Compliance policies & procedures to remain in line with the annual compliance plan
* Staying abreast of developments in the FCA procedures and regulations to ensure the compliance framework remains fit for purpose
* Assisting with the development, initiation & operation of the Compliance Monitoring Programme
* Ensure the Wealth Planners and Directors are providing a service & advice in a compliant manner
* Conducting T&C with all Wealth Planners on a regular basis
* Enhancing and further developing monitoring tasks specifically in respect of Anti Money Laundering and Market Abuse
* Supporting the wider Risk and Compliance function

Key Requirements:

* Relevant Compliance Advisory experience preferably gained within a Wealth /Investment/Asset Management environment
* Excellent knowledge of FCA Rules in particular SYSC, CASS, COBS, CIS, FUND and AIFM

In addition to a competitive basic salary and a generous benefits package my client is able to offer you the opportunity to truly shape the Compliance function within the business, utilising your experience and expertise to create and manage a best in class function.

If you meet the experience criteria and would like to find out more, please contact Antonia Mihaylova at Search Financial Services directly on Liverpool 229 5525 or 07580 429 541, or send your most recent CV to All calls and correspondence will be treated in the strictest confidence. Alternatively, I can be contacted via Linked-In.

If this role isn't for you, Search Financial Services offer voucher incentive for recommendations/referrals … Ask for details!!!

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.