Compliance Manager; Wealth Management

Location: Bath (Hybrid – 2 days a week in the office)

The chance to join a rapidly growing wealth management firm. You’ll be busy, the role will be interesting and challenging, and you’ll get some great business exposure.

You’ll also be the natural successor to the Head of Compliance, so there’s real potential that this will lead to an SMF
16 & 17 role.

There’s also a very flexible working model, with only 2 days a week in the office, the other 3 days spent working from home.

And finally, this is a firm that puts culture first. They want their people to enjoy working there and this is clear whenever you engage with anyone in the business.

Reporting into the Head of Compliance, (SMF
16 & 17) and managing one direct report, you’ll be responsible for providing expert advice on Compliance issues together with sound commercial judgement.

You’ll create, evolve and implement an appropriate monitoring regime across all business entities (a couple of directly regulated firms and several ARs) to ensure Compliance standards are maintained and timely remedial actions are taken when required.

You'll provide regular risk‑based reporting on all controlled functions to the Head of Compliance and manage the delivery of required compliance training and testing programs for employees across the group, including the creation of training materials tailored to diverse business areas.

In addition, you'll be responsible for the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant regulatory returns.

You'll also act as DMLRO for all regulated firms and act as the first line reviewer for alerts raised by the AML system, escalating cases as appropriate.

You’ll be an experienced compliance specialist with extensive wealth management exposure and will ideally be qualified to at least Level Four diploma, although exceptional candidates either working towards this qualification or with wider compliance qualifications will also be considered.

You’ll have a good understanding of the regulatory environment impacting wealth management firms, including COBS, DISP, COLL and Consumer Duty.

Superior communication and stakeholder management skills are essential for this role.