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Senior Risk and Compliance Manager

  • £60,000 - £70,000 per annum

  • Ref


  • Contact Name |Joanne McPherson

Senior Risk and Compliance Manager

  • London

  • £60,000 - £70,000 per annum

Are you a successful Compliance professional within an IFA setting wanting to make the next step up the ladder?

Do you want to shape a compliance function and be a valued Business Partner enabling customers to be at the centre of the advice process at all times?

Are you excited about business growth and creating scalable compliance solutions?
If so this role may be just what you've been waiting for...

My Client, a leading wealth management company, is looking to recruit a Senior Risk and Compliance Manager into either their St Albans or London Office. 
The business has recently become part of one of the leading financial services companies in Europe providing advice, banking, and insurance services and this is a brand new role and offers the chance to grow with the organisation.

This is an excellent opportunity to join a reputable firm that is now engaging in a new growth phase with its majority owner. They are looking for someone who has a strong track record of managing different risk, compliance and regulatory requirements within a wealth environment and is excited to be a part of their growth plans.
The objective of this role is to manage regulatory requirements, identify and manage business risks, and the implementation of compliance ‘best practice’.

Ideal Candidate

  • Previous experience of the IFA industry experience – understands the business processes and associated risk and controls
  • Compliance experience- understands the regulations; can implement regulatory changes and find solutions.
  • Experience of leading or closely supporting a leader a compliance function- understands how a best-in-class function should look but can work ‘hands on’ as well
  • Extensive knowledge of FCA Handbook and Rules – Specifically COBS, PROD, and ICAAP
  • Diploma qualified in Financial Planning or equiv.
  • Excellent verbal and written skills 
  • Strong attention to detail and inquisitive nature.
  • Strong interpersonal skills – engagement with a variety of stakeholders across the business
  • Shows growth potential with size and complexity of company.

Key responsibilities 

  • Leading the continued building of the compliance and risk functions within the company
  • Interact with all stakeholders in the business including the Board, Financial Planners, key managers, and shareholders
  • Interact with Group Legal and Compliance on a regular basis e.g., quarterly and ad hoc projects
  • Agree key risk and compliance parameters with the Board
  • Dealing with any regulatory interactions and reporting requirements
  • Adopting a risk-based approach to compliance monitoring
  • All day-to-day aspects of reporting, compliance monitoring, and managing any third-party relationships
  • Updating and maintaining the Training and Competence Procedures of the business.
  • AML and GDPR
  • Managing projects to implement updates to business procedures impacted by regulatory change

This is a fantastic opportunity to help shape the wider compliance function and be a trusted business partner and leader of the future.
Competitive salary, flexible working, and benefits package.
Please contact me ASAP on 0113 4260783 to discuss this role in greater detail.


CONTACT US 0113 274 3000