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Base pay range
Direct message the job poster from FS Talent Group Legal, Risk & Compliance Recruiter for Investment Managers, Investment Banks, Wealth & Asset Managers, Hedge Funds and PE Houses
Senior Compliance Officer – Wealth Management Location:
London Our client is a fast-growing, technology-driven wealth management firm that provides discretionary investment services to high-net-worth individuals and families. With an innovative approach to portfolio management and client engagement, the firm combines cutting-edge digital solutions with expert financial guidance to offer a seamless and efficient wealth management experience. About the Business The company was founded with the goal of making high-quality wealth management accessible, transparent, and cost-effective. Leveraging technology and data-driven insights, they provide clients with sophisticated investment solutions tailored to individual financial goals. Assets Under Management (AUM):
Several billion pounds, reflecting strong client trust and steady growth. Team Size:
Approximately 30-50 professionals, spanning investment management, client advisory, operations, and compliance. Client Base:
Primarily high-net-worth individuals and families, with a growing number of institutional and corporate clients. Regulatory Environment:
Fully regulated by the FCA, operating within the highest standards of compliance and governance. The Role As the
Senior Compliance Officer , you will be the sole compliance professional within the business, ensuring that all regulatory obligations are met while supporting the firm’s strategic objectives. Reporting to the
SMF16/17 , you will oversee the compliance framework, provide regulatory guidance, and act as the primary point of contact with the Financial Conduct Authority (FCA). This is a hands-on role requiring a proactive and strategic approach to compliance management. Key Responsibilities Maintain and enhance the firm’s compliance framework, ensuring adherence to FCA regulations and industry best practices. Act as the Compliance Officer and Money Laundering Reporting Officer (MLRO), taking responsibility for all regulatory filings and obligations. Develop and implement compliance policies and procedures tailored to the firm’s operations and business model. Monitor and assess regulatory developments, advising senior leadership on potential impacts and necessary actions. Conduct periodic risk assessments and compliance reviews to identify and mitigate potential regulatory risks. Oversee client onboarding, AML/KYC processes, and financial crime prevention measures. Provide compliance training and guidance to employees, fostering a culture of regulatory awareness and accountability. Handle all communications with the FCA, including reporting requirements and regulatory updates. Support business expansion initiatives by ensuring compliance with new markets, products, or services. Key Skills & Experience Required Strong background in compliance within a wealth management, investment management, or financial services firm. In-depth knowledge of FCA regulations, including CASS, SMCR, Conduct of Business (COBS), and AML requirements. Proven experience in a standalone compliance role or as a senior compliance professional within a small-to-mid-sized firm. Strong analytical skills with the ability to assess regulatory risks and implement practical solutions. Excellent communication skills with the ability to influence stakeholders at all levels. Self-starter with the ability to work independently while collaborating effectively with senior leadership. Why Join? Opportunity to take full ownership of the compliance function within a high-growth, technology-driven wealth management firm. Work closely with senior leadership in a dynamic and entrepreneurial environment. Competitive salary and benefits package. A chance to shape the firm’s compliance strategy and contribute to its long-term success. Seniority level
Director Employment type
Full-time Job function
Legal Industries
Financial Services, Investment Management, and Investment Advice
#J-18808-Ljbffr
Direct message the job poster from FS Talent Group Legal, Risk & Compliance Recruiter for Investment Managers, Investment Banks, Wealth & Asset Managers, Hedge Funds and PE Houses
Senior Compliance Officer – Wealth Management Location:
London Our client is a fast-growing, technology-driven wealth management firm that provides discretionary investment services to high-net-worth individuals and families. With an innovative approach to portfolio management and client engagement, the firm combines cutting-edge digital solutions with expert financial guidance to offer a seamless and efficient wealth management experience. About the Business The company was founded with the goal of making high-quality wealth management accessible, transparent, and cost-effective. Leveraging technology and data-driven insights, they provide clients with sophisticated investment solutions tailored to individual financial goals. Assets Under Management (AUM):
Several billion pounds, reflecting strong client trust and steady growth. Team Size:
Approximately 30-50 professionals, spanning investment management, client advisory, operations, and compliance. Client Base:
Primarily high-net-worth individuals and families, with a growing number of institutional and corporate clients. Regulatory Environment:
Fully regulated by the FCA, operating within the highest standards of compliance and governance. The Role As the
Senior Compliance Officer , you will be the sole compliance professional within the business, ensuring that all regulatory obligations are met while supporting the firm’s strategic objectives. Reporting to the
SMF16/17 , you will oversee the compliance framework, provide regulatory guidance, and act as the primary point of contact with the Financial Conduct Authority (FCA). This is a hands-on role requiring a proactive and strategic approach to compliance management. Key Responsibilities Maintain and enhance the firm’s compliance framework, ensuring adherence to FCA regulations and industry best practices. Act as the Compliance Officer and Money Laundering Reporting Officer (MLRO), taking responsibility for all regulatory filings and obligations. Develop and implement compliance policies and procedures tailored to the firm’s operations and business model. Monitor and assess regulatory developments, advising senior leadership on potential impacts and necessary actions. Conduct periodic risk assessments and compliance reviews to identify and mitigate potential regulatory risks. Oversee client onboarding, AML/KYC processes, and financial crime prevention measures. Provide compliance training and guidance to employees, fostering a culture of regulatory awareness and accountability. Handle all communications with the FCA, including reporting requirements and regulatory updates. Support business expansion initiatives by ensuring compliance with new markets, products, or services. Key Skills & Experience Required Strong background in compliance within a wealth management, investment management, or financial services firm. In-depth knowledge of FCA regulations, including CASS, SMCR, Conduct of Business (COBS), and AML requirements. Proven experience in a standalone compliance role or as a senior compliance professional within a small-to-mid-sized firm. Strong analytical skills with the ability to assess regulatory risks and implement practical solutions. Excellent communication skills with the ability to influence stakeholders at all levels. Self-starter with the ability to work independently while collaborating effectively with senior leadership. Why Join? Opportunity to take full ownership of the compliance function within a high-growth, technology-driven wealth management firm. Work closely with senior leadership in a dynamic and entrepreneurial environment. Competitive salary and benefits package. A chance to shape the firm’s compliance strategy and contribute to its long-term success. Seniority level
Director Employment type
Full-time Job function
Legal Industries
Financial Services, Investment Management, and Investment Advice
#J-18808-Ljbffr
