Your new role
Developed and aligned compliance business plans with strategic goals. Presented performance reports to senior management.
Help build governance and infrastructure. Improved key workflows like client onboarding (KYC/AML), product due diligence, trading controls, and compliance processes to meet regulatory standards.
Provide regulatory advice to internal teams to create quality assurance and risk control frameworks. Conducted compliance reviews, gap analyses, and resolved control issues.
Lead training programs for Client Advisors. Promoted awareness of risk and compliance, and delivered regular regulatory updates
Participate in product approval and business strategy discussions. Prepared market outlooks and investment briefings. Managed the public platform showcasing PWM's strategy and insights
What you'll need to succeed
8-10 years of compliance and internal control experience in Private Wealth Management in the FS industry.
Experience working with regulators is a must.
What you need to do now If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or contact us now.
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion about your career.