Compliance Lead, Wealth

London, United Kingdom

Compliance Lead, Wealth

London, United Kingdom

Join us as a Compliance Lead

  • We’ll look to you to lead in Wealth COO on regulatory compliance and conduct insight, oversight and challenge
  • You’ll be providing expert support, advice, MI and escalation to the Wealth business on risk management
  • This is an opportunity to gain exposure across the Wealth business as you will manage your own stakeholder relationships across the business to make sure there’s an early understanding and buy-in of conduct risk appetite activity

What you'll do

As a Compliance Lead, you’ll be supporting the Head of Regulatory Advisory and Remediation  in making sure that the business strategy for the Wealth business is consistent with and supports an effective regulatory framework. You’ll also be supporting Regulatory Liaison Manager on regulatory engagement with the FCA in relation to relevant matters relating to the Wealth business.

You’ll provide advice, guidance and oversight on all compliance related regulatory issues, and hold a level of responsibility for the management reporting and communication of compliance risk management framework for businesses. And you’ll be reporting on key areas of exposure and identifying appropriate solutions.

On top of this, you’ll be:

  • Mitigating the risk of legal or regulatory sanctions, material financial loss and reputational harm
  • Providing critical analysis and independent challenge, on the function’s strategy, and approach to defining and measuring the conduct risk appetite
  • Interrogating and assessing function structures and providing strategic regulatory advice through a focus on customer outcomes and regulatory expectations
  • Providing technical advice on the interpretation of regulatory rules applicable to the function and their impact on the operating model
  • Mapping regulatory rules against the Wealth business operating model
  • Working in partnership with Wealth client journeys to deliver regulatory change and remediation

The skills you'll need

To succeed in this role, you’ll need strong financial services experience, preferably in banking and regulated firms in the conduct risk environment. In addition, you’ll need broad technical knowledge of products, services and regulations relevant to a private bank.

You’ll also demonstrate:

  • Knowledge and experience of providing regulatory and technical support and advice to senior management
  • The ability to analyse, understand, and draw sound conclusions from a wide range of sources and information, including MI
  • A track record in effective senior stakeholder management, with relevant experience in a compliance or conduct risk related discipline
  • Experience in, and the ability to have, challenging conversations with stakeholders to reach agreed positions, with a proven strength in influencing and negotiation skills
  • The proven ability to think strategically and to simplify complex conduct matters to make sure they are effectively managed, understood and communicated

If you need any adjustments to support your application, such as information in alternative formats or special requirements to access our buildings, or if you’re eligible under the Disability Confident Scheme please contact us and we’ll do everything we can to help.

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