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Wealth Management Firm
Are you looking for a new challenge in the world of Wealth Management? Do you have experience in Risk, Compliance, or Paraplanning, and are eager to step into a strategic role with real impact? This exciting opportunity with an SME wealth management firm in the heart of the City of London could be the perfect next step for you!
Role Overview: We are seeking a detail-oriented, motivated, and proactive Risk and Compliance Manager to join a growing wealth management firm. This is a newly created role where you’ll have the opportunity to make your mark, ensuring the firm meets regulatory standards and internal policies while helping to mitigate risks and maintain a strong compliance framework.
Whether you come from a paraplanning background and are ready for a career shift, or you have direct experience in risk and compliance, we want to hear from you! You will work closely with senior leadership to implement and oversee risk management strategies, ensuring the firm's operations are secure, efficient, and compliant with industry regulations.
Key Responsibilities:
- Monitor and assess risk across various business activities.
- Develop and implement compliance policies, procedures, and controls.
- Work with internal and external stakeholders to ensure adherence to all regulatory requirements.
- Support the development of risk management strategies, identifying areas for improvement.
- Conduct regular risk assessments and audits, reporting findings to senior management.
- Provide guidance on regulatory changes and ensure the business stays compliant.
Ideal Candidate:
- Previous experience in risk, compliance, or even paraplanning experience may be considered
- A strong understanding of regulatory frameworks (FCA, MiFID, etc.).
- Excellent attention to detail, with strong problem-solving and analytical skills.
- A proactive and adaptable approach to managing risk and compliance issues.
- Strong communication skills, with the ability to collaborate with stakeholders at all levels.
What's on Offer:
- Up to £45,000 salary (dependent on experience).
- Benefits package including flexible working options and more.
- An exciting, newly created role with room for growth and development within the firm.
- Opportunity to move from paraplanning into a strategic risk and compliance role.
- Work within a supportive and dynamic team in a thriving City of London location.
If you're ready to take the next step in your career and make a meaningful impact in a rapidly growing firm, this could be the perfect opportunity for you. Contact/send your CV to Laura at Financial Divisions to apply!
