Compliance Manager - Wealth/Asset Management, LondonClient:

Morgan McKinleyLocation:

London, United KingdomJob Category:

OtherEU work permit required:

YesJob Views:

3Posted:

22.08.2025Expiry Date:

06.10.2025Job Description:

Our client is a dynamic Wealth Management firm committed to delivering exceptional client service through integrity, innovation, and professionalism.We are seeking a full-time, experienced Compliance Manager to join our team and ensure our operations comply with applicable laws, regulations, and internal policies.This is an exciting opportunity for a compliance professional with a strong background in Wealth Management, aiming to advance their career in a fast-paced, collaborative environment. The ideal candidate will hold a CISI Compliance Diploma or equivalent and have experience in a similar role.Key Responsibilities:

Providing advice and answering queries from the business.Overseeing and managing the Compliance Monitoring Programme to ensure compliance with internal policies and regulatory requirements.Executing second-line monitoring and surveillance activities in line with the programme.Deputising for the Compliance Officer as required.Leading and developing the compliance team, overseeing staff and their development.Supporting the development, implementation, and monitoring of compliance policies, procedures, and controls.Conducting periodic compliance reviews, including surveillance of investment activities, marketing materials, and client communications.Monitoring employee conduct, including personal account dealing, gifts, entertainment, and conflicts of interest.Preparing monthly compliance reports for senior management and the board.Conducting transaction reporting, reconciliation, monitoring, and submissions for trades.Maintaining the Insider Register and assisting with market abuse surveillance.Conducting internal investigations and recommending corrective actions.Undertaking Training and Competence Reviews.Supporting client onboarding from an AML/KYC perspective, including reviews.Performing TR1 shareholding calculations and drafting submissions to the FCA.Responding to queries in the compliance inbox.Participating in client service reviews, due diligence meetings, and projects.Maintaining and updating compliance manuals, policies, and training materials.Identifying opportunities to improve compliance processes as the firm grows.Providing operational support as needed.

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