Compliance Manager

Stuck? Frustrated? Is it time to join a business that can not only accommodate your personal ambitions but also provide you with the coaching and development that will you help you realise them?

This role comes with a clearly defined career path that will give you options as to how you wish to progress your career. And you’ll be reporting into one of the best managers around. She’s passionate about Compliance and about her people. And she manages to strike just the right balance between empowerment and guidance.

You’ll be working for a leading wealth and investment management firm. They’re very ambitious, despite the tremendous success they’ve already had to date. And this newly created role reflects that success and ongoing ambition.

You’ll love the high degree of autonomy that the role provides, but also benefit from being part of a larger Compliance team under excellent management and stewardship.

You’ll use your Wealth / Investment Management compliance experience to provide group-wide compliance advice, guidance and support at all levels. You’ll identify and respond to alleged breaches whilst helping to develop and oversee a system for breach management and subsequent resolution.

You’ll undertake horizon scanning, identifying and analysing any regulatory changes, ensuring compliance policies and processes evolve to meet the changing demands of the regulatory environment.

You’ll have gained good Compliance experience in a wealth management or investment management environment and will be able to act as a ‘critical friend’ to the business, providing constructive challenge as and when required.


Click apply. Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at [email protected] We’ll pick it up from there.

Company:Leading Wealth & Investment Management Firm


Workplace: Hybrid Working

Salary:To £50k + benefits


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