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Compliance Manager – Wealth Management

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Compliance Manager – Wealth Management Leading Wealth and Investment Management Co, based Oxfordshire. Up to £70,000 (dependent on experience) + Package + 32 Days Holiday + Home Working This is an excellent opportunity for an experienced Compliance Manager to join a successful and growing Wealth Manager, based in Oxfordshire. Working as part of a small technical team that supports the wider business, this is a 'hands-on’ role that would suit individuals looking to drive compliance forward. Your responsibilities will include: • Compliance Monitoring • Monitor breaches and manage resolution ensure correct outcome for both Client and Business. • Monitor and record Sanction notifications. • Review and sign off on marketing documentation and material. • Monitor and provide guidance on regulatory change, output for thematic reviews and industry guidance. • Be a point of reference for regulatory queries and new client documentation. • Supply data to the FCA including Annual and Bi-annual Regulatory reporting. Annual fee data submission, updating and checking firm details & requesting authorization of individuals. • Review and update Risk frameworks, including assisting with risk registers and preparing the annual ICAAP/ICARA document as well as preparing risk reports for the Board. To be successful in this role, you should have had experience of the following: • At least 3-5 years compliance experience gained from within a Wealth Manager, IFA or Financial Advisory firm. • Good understanding of FCA regulations and other relevant legislation. • Self-motivated with excellent written and verbal communications skills and a high level of accuracy and detail. In return, our client offers: • Basic salary of £50,000 – £70,000 dependent on experience. • Excellent Benefits Package including 32 Days Holiday + a Bonus week at Christmas. • Opportunity to work from home/flexible hours. For more information, please contact Edward Groves.

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