Risk and Compliance AVP/VP, Wealth Management

Job Description

About the firm

Our client is a dynamic wealth manager with a global footprint. They have a strong team culture and offer a hybrid working environment.

About the role

You will be a critical member of the risk and compliance team, tasked with developing and maintaining the internal control system, risk management framework, and compliance policies and procedures.

Key responsibilities

• Implement and monitor the risk management framework, including planning, reporting, and corrective actions
• Conduct controls, contribute to reports, and ensure legal/regulatory compliance.
• Organize training on Investment, Compliance, and Risk. Provide support to Front Office and Investment Departments.
• Draft and maintain Risk Management policies and Compliance Monitoring Programs.

Key requirements

• 5+ years in Risk, Compliance, Internal Control, or Audit (preferably in Wealth/Asset Management)
• Undergraduate degree required; legal qualification preferred
• Strong understanding of EU & UK regulatory frameworks, investment process, and financial services
• Advanced Microsoft Excel and IT proficiency

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