Senior Compliance Manager

Overview:

As part of our continuing growth strategy, we have a need for a Senior Compliance Manager to ensure we meet our regulatory obligations under both UK and US frameworks including FCA and SEC requirements.

Working within our existing team the role will involve providing expert compliance advice, overseeing monitoring programmes and supporting business units in maintaining high standards of conduct and regulatory adherence.

With plans to continually develop our client footprint through organic growth and acquisition this is an exciting time to be joining the firm that will undoubtedly provide opportunities to manage staff and lead a team in the future.

About the Company

With over £24 billion in assets under management (AUM), a team of c.350 professionals across 5 global offices, W1M specialises in working with high-net-worth and ultra-high-net-worth individuals and families, charities, and institutions. Beyond our direct client relationships, we also maintain a longstanding partnership with Independent Financial Advisers, providing access to our market-leading investment solutions.

We are continuing to expand with ambitious plans to double our AUM in the next 4 years based on the foundation of the quality of advice and services we provide to our clients, alongside peer-leading investment performance.

Internally we are a highly collaborative organisation free from the politics and bureaucracy of larger firms that gives everyone the opportunity to make a real difference and enhance the way we work.

Key Accountabilities

Advisory

• Provide technical expertise and compliance guidance across the wealth and portfolio management business areas
• Interpret and apply FCA and SEC regulations to business activities

Monitoring & Oversight

• Lead compliance monitoring reviews and thematic assessments
• Identify control gaps and make enhancements

Policy & Governance

• Maintain and update compliance policies and procedures
• Support regulatory reporting and submissions
• Attending various committees representing Compliance where required

Stakeholder Engagement:

• Liaise with senior management, regulators and internal teams
• Deliver training on compliance topics, including SEC obligations

Risk Management:

• Assess regulatory Risks and implement mitigating actions
• Support root cause analysis for incidents and complaints

Background / Experience and Qualifications required

• Demonstrable compliance experience gained within wealth, investment or asset management with exposure to retail clients
• Strong understanding of FCA and SEC regulatory frameworks
• Key understanding of FCA Handbook with respect to retail clients
• Significant experience dealing with front office staff with ability to deal with common queries / issues they are likely to face
• Compliance monitoring experience
• Commercial and pragmatic approach with a problem-solving mindset
• Strong communication skills – able to converse with other business units in a succinct and firm but non-confrontational manner
• Track record in identifying and implementing control and monitoring enhancements

Equal Opportunity Statement

W1M is an equal opportunities employer and in accordance with the rules regarding discrimination in the Equality Act 2010, we welcome applications from all suitably qualified persons.