Compliance Advisory Manager

  • Location


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  • Job type:


  • Salary:

    £45,000 - £55,000 + Bonus + Benefits

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  • Published:

    over 2 years ago

My client is a long established and highly regarded financial services organisation.  

The role:

An exceptional opportunity exists for an individual to support the Senior Advisory Manager in ensuring a proficient advisory service to the group.

Key Resposnibilities:

  • To work with the rest of the Advisory team to provide support for the Front Office on a wide range of FCA/PRA issues, acting as the main point of contact for all compliance queries.
  • To monitor the regulatory environment (FCA) and provide guidance and support to the firm to ensure they continue to comply – especially horizon scanning
  • To undertake thematic and specialist reviews across the business in respect of specific regulatory topics and issues as they arise
  • To assist in the identification of gap analysis and implementation of relvenat regulatory measures and industry guidance pertaining to the regulated activities of the company. To produce summary reports and impact assessment of consultation documents where requested.
  • Support training initiatives for the company as whole, working with HR and others to develop a compliant business-orinted culture
  • Support the business in relation to their Conduct Risk Framework
  • To review Financial promotions against the regulatory requirements

Key Requirements:                                                                                    

  • A deep understanding of Compliance as a discipline, preferably within a wealth management, private banking environment, and the subsequent benefits from such implementation.  They are open to considering candidates across other sectors within Financial Services providing they have operated at the right level.
  • Confident and comfortable communicating with teams and individuals across all hierarchical levels e.g. Team members, Directors, Board.
  • At least 3 years in a similar role at a FCA and/or PRA regulated firm.

Salary range is broad and commensurate with experience but will reflect the significance of the role.