Compliance Manager
Working for a prestigious Wealth Management business, my client is looking for an experience Compliance manager with both monitoring and cass experience to perform a specific project contract role
Key Duties:
To review and assess the quality and standards of the Wealth Management department, including Private Client suitability reviews, Investment Research, Dealing, Execution and Custody operations.
To provide high quality regulatory advice to resolve regulatory issues, as first point of Compliance contact for Portfolio Managers, Strategy Team, Research Team, Investment Risk Team, Head of Dealing, and Head of Investment Operations.
To aid the Deputy Compliance Manager in reviewing, analysing, and providing policy advice to the Wealth Management business on new regulatory requirements, as directed.
Fantastic client and enjoyable client to work for who appreciates their staff
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