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Assistant Compliance Monitoring Manager

  • Location: Leeds
  • Salary: Up to £50,000 + Bonus + Benefits per year

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Michael Ayres
  • Expiry Date: 16 January 2022
  • Job Ref: MA/18422

Leeds (Hybrid Working)

Our client is a prestigious wealth management business that are hiring an individual to assist in ensuring the firm fulfils its regulatory requirements and meets strategic objectives.

Key Responsibilities:

• Develop and monitor a risk-based Monitoring Plan in order to meet regulatory and legislative standards.

• Supervise team members on a day-to-day basis and support the development of compliance staff in the review process.

• Draft policy guidance for branch manual updates or new policies and procedures.

• Ensure departmental processes are being followed, along with using the departmental manual to verify all processes are documented correctly.

• Ensure all reports of regulatory breaches are evaluated and recorded and agree follow up actions required with the Head of Regulation.

• Reporting of risks which may be detrimental to clients or to the firm’s reputation.

The Ideal Candidate:

• Minimum of 5 years Compliance experience within an FCA regulated environment, specifically within the wealth and stockbroking arena.

• Educated to degree level or equivalent standard as well as management or team supervision experience.

• Hold relevant industry related qualifications e.g. Diploma in Investment Compliance / CII Financial Planning Diploma / CISI Investment Advice Diploma.

Benefits include private medical care, bi-annual discretionary bonus and employer pension contribution scheme.