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Compliance Manager

Investment compliance manger role with global known bank

Compliance Manager – Global Wealth Management Newly created position to add additional regulatory support to the growing HNW & premier banking lines of international power brand.

You will work with the divisional head of compliance and engage with the business and support them on new product development and specifically the management of the regulatory risk that they may impose in addition to regulatory/Conduct BAU your work will be work across projects and initiatives, liaising with driven individuals located in Bristol London and near Europe.


  1. Engage with stakeholders to pre-empt potential regulatory risk, further monitoring and assessing different business activities – tracking alerts, investigating and providing practical solutions.
  2. Owning the regulatory risk appetite you will look for business & customer focused solutions across the 3 lines of defences
  3. Support the business in key decision making and policy implementation, that are practical to apply to operations of the business
  4. Providing expert advice on the risk management of the business in conjunction to providing senior executives with the necessary reports and escalating concerns
  5. Own and develop the appropriate risk and control framework.
  6. Champion the risk appetite and challenge activities that do not reside within it.

  Candidate profiles likely to be of interest:
  • Strong knowledge of FCA Hand book and European equivalents with particular focus on COBS MiFID and AIFMD
  • A strong understanding of the workings of Private Banking/Wealth Management will be required.

  Please call or email Gaurav Kumar for more information.
   T: 02034650479 E:


Job Type:
Banking & Financial Services
Banking and Capital Markets
Up to £72,000
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Talk to a Consultant

Talk to Gaurav Kumar, the specialist consultant managing this position, located in London City

107 Cheapside, London, EC2V 6DN

Telephone: 02034650078
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