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.
• 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.