***HEAD OF COMPLIANCE - WEALTH MANAGEMENT *** A leading global wealth manager is looking for an experienced SMF16 to join their London team. Holding the SMF16, the successful candidate will undertake the following:
DUTIES & RESPONSIBILITIES OF A HEAD OF COMPLIANCE - WEALTH MANAGEMENT
- Design and enhance internal Compliance & governance frameworks
- Provide regulatory advise and guidance to senior stakeholders - including the potential impact of new regulations
- Undertaking monitoring, surveillance and regulatory reporting
- Reviewing and approving financial promotions/marketing materials
- Reviewing and updating policies and providing training
- Acting as a liaison between the business and the FCA/PRA
QUALITIES & ATTRIBUTES NEEDED TO BE A HEAD OF COMPLIANCE - WEALTH MANAGEMENT
You will have previous SMF16 experience gained from a wealth management background. You will have a minimum of 7 years' experience coupled with solid team management skills.
Please Stay Alert to Potential Scams
We would like to remind you that eFinancialCareers is a job board and does not conduct hiring or ask for payment or any financial details as part of the job application process.
If you receive any suspicious messages claiming to be from us or a hiring company, we urge you not to click on any links and not to reply to the message itself.
Instead, please report the message to our support team at support@efinancialcareers.com.
It is advisable to always verify job offers directly with the hiring company.
Boost your career
Find thousands of job opportunities by signing up to eFinancialCareers today.
