Asset And Wealth Management - Senior Compliance Manager

  • £80K-£100K
  • London, England, United Kingdom
  • Permanent, Full time
  • Holmes Search
  • 11 Dec 18

our client is a big 4 consulting firm and they are looking for ambitious compliance officers to join their team to enable significant growth within their asset and wealth management team.


  • Supporting clients and client delivery teams with industry and technical expertise on risk and regulatory matters in Asset and Wealth Management
  • Acting as subject matter expert on large and small engagements, often simultaneously

Leading parts of the work focusing on new regulatory developments, wider business themes and regulators’ policymaking, supervisory and enforcement activities in this sector/subsector

  • Helping to manage sub-sector junior team members as appropriate, including coaching and development, with other Senior Managers/Directors
  • Producing and overseeing written analysis and information including client publications, marketing materials, website content, training materials, press releases, etc. in conjunction with the market profile team
  • Conducting technical research, training, speaking at client events, responding to consultation papers from relevant regulatory bodies etc.
  • Leading and contributing input to the debate on development and application of policy, anticipating and developing Thought Leadership in relevant areas, with Directors and the partner
  • Engaging with regulators and policy makers on areas of expertise, managing relationships, and supporting the activity of the wider regulatory relations team.

Skills required

The ideal candidate would have demonstrable experience in Asset and Wealth Management, and be able to identify how risk and regulatory challenges will impact clients, as well as an awareness of the wider issues affecting this sector. Previous experience is likely to have been in a firm, or in a policy/supervisory department at one of the regulators. Alternatively, the candidate may have gained his or her experience from working in an industry body, government department, law firm or consulting firm.

The following skills are required for this role:

Essential skills:

Deep technical grounding in risk and regulatory issues. Suitable topics include:  UCITS, AIFMD, fund structures, suitability, robo-advice, costs and charges, wealth management advice, investor protection, PRIIPs, the Asset Management Market Study, extension of SMR etc.
Knowledge of prudential issues, including the investment firms review, would be advantageous but not compulsory
Significant knowledge of the sector, including the typical business and operational models of clients in this sector
Experience of advising on FCA/PRA principles, rules and regulatory processes in relation to these types of firms
Excellent technical, delivery and communication skills including using social media and other technology
Leadership and management experience of both people and projects
Experience of developing and coaching more junior staff
Strong organisational and interpersonal skills
Ability to prioritise tasks and meet deadlines
Ability to make new contacts, build strong relationships with clients and regulators, listen to and understand client needs
Desire and ability to interpret regulatory changes into new opportunities to assist clients, drawing on wider geopolitical, technological and demographic issues.


Desirable Skills:

  • Experience working with a UK or equivalent overseas regulators.
  • Experience of shaping public facing messages and market profile, for example contributing to industry bodies/working groups, PR messaging.