Compliance/Operations Manager
Job Description
Job title: Compliance/Operations Manager
Company: Eames Consulting
Job description: A boutique wealth management firm is in search of a Compliance and Operations professional with aspirations to eventually assume the role of Chief Operating Officer and take on SMF16/17 responsibilities. This role offers the opportunity to work in a dynamic and socially engaging environment.
Key responsibilities will include:
- Supporting the CEO’s compliance function.
- Stay up to date with relevant laws, regulations and industry guidelines pertaining to asset/wealth management
- Develop and implement compliance policies, procedures , and controls to ensure adherence to applicable regulations
- Monitor and report on regulatory changes and their impact on the firm’s operations
Collaborate with external legal and audit teams to address any issues or inquiries * Assist in regulatory examinations, audits, and inquiries by providing requested information and supporting documentations
- Managing the firm’s operational procedures and document management systems.
- Overseeing day-to-day operational activities.
Experience Required:
- Demonstrated experience in managing compliance and regulatory matters within the wealth/banking sector, preferably within a family office.
- Hold a relevant professional qualification, preferably with a legal/finance
Please get in touch or apply for more information!
Eames Consulting is acting as an Employment Agency in relation to this vacancy.
Expected salary:
Location: London
Job date: Sat, 13 Jan 2024 07:13:28 GMT
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