Compliance Advisor

Compliance Advisor – Wealth Management

We are looking for a Compliance Advisor - Wealth Management to join a large financial institute as part of the Compliance team, reporting directly to senior leadership with full visibility across the business. As a Compliance Advisor for Wealth Management, you’ll act as a key partner to the business, delivering clear, practical, and forward looking advice on a wide range of regulatory, conduct, and financial crime matters.

Job Responsibilities:

• Serve as a subject matter expert on compliance issues affecting the Wealth and Investment Management activities.
• Deliver practical advice on areas such as conduct risk, regulatory change, product governance, AML/CTF, and sanctions compliance.
• Oversee assurance activities related to client advice, transaction execution, custody, and safeguarding of assets.
• Contribute to the design and implementation of compliance monitoring frameworks, control testing, and risk assessments.
• Respond to internal and external findings by driving timely remediation and root cause analysis.
• Support efforts to enhance approach to client protection and ethical business conduct.

Requirements:

• Solid background in compliance, preferably within a wealth management, asset management, or private banking environment.
• Strong knowledge of financial services regulations, particularly in relation to client advice, AML/CTF, and product governance.
• Excellent stakeholder management skills, confident working with senior leaders and frontline teams.
• Analytical thinker with the ability to interpret regulations and apply them practically to business scenarios