Compliance Manager
Wealth Management
Location: Remote (UK)
Salary: To £65k + benefits
Looking for a Compliance role within Wealth Management that offers plenty of flexibility?
Look no further!
This is probably the most flexible role currently available, bar none.
✔️ You can work from anywhere
✔️ You can adapt your working hours around your personal commitments
✔️ We can accommodate part-time or condensed hours if required
✔️ Unlimited holidays
✔️ Complete autonomy
This firm has quickly established itself as the go-to facilitator for M&A deals in the wealth management arena. They are trusted by all the main acquirers in the market to perform thorough due diligence of seller firms.
You’ll be responsible for undertaking all the Compliance due diligence, working closely with both buyers and sellers to ensure a successful outcome. You’ll assess all areas of a firm’s Compliance regime, both Regulatory and Financial Crime.
This means you’ll dive into their T&C schemes, their SMCR regime, their Consumer Duty policies and procedures, and their GDPR frameworks. Throw in some file reviews, the assessment of their Financial Promotions Register and an audit of their Complaints Handling process, and you’ve got a highly varied role that will use all your Compliance experience and technical knowledge.
You’ll be an experienced Compliance specialist from the Wealth Management arena with an excellent working knowledge of the FCA regulations impacting this sector. A Level 4 Qualification is essential (DipPFS, DipFA or similar), as are excellent communication and stakeholder management skills.
Interested?
If so, click apply and send over your CV.
Not got an up to date CV?
Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for a confidential discussion or email me at mark.wilson@willowresourcing.co.uk letting me know that you’re interested. We’ll pick it up from there.