PWM Regulatory Developments Manager – Relevant Experience From Investment Management and/or L&P Req
Our client, a leading Private Wealth Management Firm, is looking to recruit a Regulatory Developments Manager. Duties will include:
• Operate an effective process for regulatory development tracking and assessment
• Conduct Initial assessments on regulatory developments to determine whether or not they will affect the UK businesses
• Produce high-level, tailored written summaries of regulatory developments to the businesses
• Documenting the initial impact assessment and sharing these with the relevant Advisory Compliance teams and other business areas as necessary
• Co-ordinate and assist with the implementation of group-wide regulatory changes
• Take an active role in the production and delivery of a group wide policy framework including the drafting and implementation of policies e.g. personal account dealing, gifts and hospitality, conflicts of interest.
• Assisting with complex FCA/PRA approved person applications and some financial promotion sign offs
You should have previous experience assessing and implementing regulatory developments and managing these to implementation (whether gained in PWM, Investment Management and/or Life and Pensions). This may have been in a similar stand alone role or as part of a broader in house role or else from a consultancy or law firm.
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
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