£40000 - £45000 per annum
3 months ago
Sellick Partnership are currently recruiting for an experienced Compliance Manager to join a prestigious and longstanding Wealth Management firm based in the heart of Liverpool City Centre.
Reporting to the Chief Compliance Officer, he Compliance Manager will take responsibility for the following:
- Assisting the investment desk in complying with all relevant investment regulations (such as MiFID, GDPR and rules stipulated within the FCA handbook)
- Monitoring changes to business practices and products to ensure that procedures and controls are in place to ensure the business is compliance
- Producing risk assessment reports for senior management
- Reporting to the Operational Direct on matters where they may be significant regulatory breaches
- Identifying, measuring and managing risks which may give rise to regulatory concern.
The Compliance Manager will meet the following skillset:
- Previous compliance monitoring experience within Wealth & Investment Management
- Proactive natured: has natural ability to monitor processes internally to improve compliance
- Organised, process-driven and shows strong attention to detail
- Has the gravitas to keep the wider business in check when it comes to adhering to industry guidelines - this will involve liaising with colleagues at all levels of seniority
This is an excellent opportunity for a Compliance professional with extensive experience in the Wealth & Investment Management sector to add value to a growing Investment Management house.
If you have the relevant skill set of a Compliance Manager, please apply now to be considered.
Candidates without the required experience will not be reviewed for this position.
Sellick Partnership is a market-leading professional services recruitment specialist operating across the UK. Over the years we have built up an enviable relationship with employers and our expert team of consultants boast up-to-date market knowledge and a strong reputation making Sellick Partnership best placed to help you. Sellick Partnership is proud to be an equal opportunities employer. Please note our advertisements use years' experience and salary levels purely as a guide. We are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role. For information on how your personal details may be used by Sellick Partnership, please review our data processing notice which can be found in the footer on our website.