Job Details

Exchange Street is continuing to work with one of the pre-eminent names in the wealth management arena, a firm that have been at the forefront of the move to a fee based approach utilising ethical, highly qualified financial planners. As part of their on-going ambition to be the advisory practice of choice for high net worth individuals in the UK, they now require a Compliance professional to join their Bracknell based team.

The firm in question is extremely profitable, has an established fee charging structure, continues to attract assets under management at a high rate and has a very low client attrition rate.

The main purpose of the role is to work to the compliance monitoring plan, undertaking reviews, identifying risks, remedial actions and recommendations and follow up actions.
Applicants will have excellent knowledge of FSA rules, experience within a compliance role within an asset or wealth management practice and strong knowledge of FSA regulations, In particular SYSC, CASS,COBS and CIS.

To be considered applicants must have their Investment Management Certificate as a minimum (no application can proceed without this) and preferably hold a degree qualification.

For further information regarding this vacancy or a confidential discussion about the other high profile roles in the region, please contact Leanne Fairhurst on 0161 973 6900 or e-mail us at recruit@exchange-street.co.uk.