Wealth Management

A Compliance Manager main function is to ensure that a company is conducting its business in full compliance with all national and international laws and regulations within the Financial Services industry. In addition, professional standards, accepted business practices and internal standards are often part of a Compliance Managers’ remit.

An essential and influential figure in all sectors of the industry. As regulation increases, so does the requirements of a Compliance Manager. Whether it is a small IFA practice, a national financial advisory network or an investment house, a Compliance Manager is responsible for what practices are adopted.

Compliance Managers are often referred to as Compliance Officers, but in larger organisations, they are distinguished and often a team of Compliance Managers/Officers are utilised.