Job description
Experience working for a UK Wealth Management business required.
Senior Compliance Advisory Manager - Wealth Management
Primary responsibility for supporting the Head of Compliance / MLRO in all aspects of compliance across the business, including providing day-to-day technical compliance advice to the 1st line business and operational teams.
Key Responsibilities
- Provide compliance advisory services to both the financial planning and investment management business units.
- Assist in drafting, developing and maintaining compliance suite of policies in line with regulatory requirements and developing and implementing appropriate training for embedding within the business.
- Support delivery of the business acquisition strategy and ensure compliance is represented on all acquisition projects.
- Support the management of any incidents/risk events, including the centralised record of all incidents, errors, breaches following up on root cause analysis, trend analysis and recommending control enhancements and appropriate escalation, where required.
- Review and sign off financial promotions and other marketing collateral.
Extra information
- Status
- Open
- Education Level
- Secondary School
- Location
- London Area
- Type of Contract
- Full-time jobs
- Published at
- 01-03-2026
- Profession type
- Management
- Full UK/EU driving license preferred
- No
- Car Preferred
- No
- Must be eligible to work in the EU
- No
- Cover Letter Required
- No
- Languages
- English
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