VP Compliance Advisory
VP Compliance Advisory Manager – Wealth Management
A global leading financial services provider based in Canary Wharf is looking for a Compliance Advisory Manager to join its established Wealth business. This organisation is leading the way in their approach to developing a market leading approach to compliance and creating a culture that is recognised for this globally.
The role holder will work with a wider team of regulatory experts to provide day-to-day compliance advice in relation to the distribution of investment products and services by the UK Wealth business. This role will have high visibility and require the role holder to quickly develop relationships with colleagues whilst working with a broad range of colleagues in the implementation of regulatory change.
Key responsibilities include
• Provide front line compliance advisory support to the UK Wealth Investment Management business
• Ensure the business maintains an appropriate level of compliance with existing and policies.
• Review and ensure that controls are fit for purpose and address current and future regulatory requirements
• Work with the Technical Compliance team on new product sign
• to the business and relevant actions are followed through to completion.
• Participate in major regulatory projects
This fantastic opportunity requires a candidate with a background in Wealth Management or Private Banking who has a good understanding of UK regulation. Excellent interpersonal skills are required to work with senior stakeholders to negotiate and influence effectively across the business.
Hays Investment Management Compliance is a dedicated recruitment function, focusing purely on regulatory compliance recruitment within the buy-side of the market, covering Asset Management, Hedge Funds, Private Equity, Wealth Management and Private Banking. We offer a unique insight into the investment compliance market, having developed a specialist network of both clients and candidates within this sector.
For a confidential discussion on this role, other opportunities in the market or a more broad discussion about the market at present please call Abigail Vann at Hays on 02034650110.
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