c. £35,000 plus benefits
6 months ago
The role will assist the Company within the remit of the Compliance Function in the management of risk (and in particular regulatory risk) and to provide advice and assistance to the relevant persons responsible for carrying out regulated activities in the ongoing development of policies and procedures, ensuring these are appropriate in light of the risk appetite and risk tolerance of the business.
Key responsibilities include:
- Analysing data and management information from the first and second lines of defence in order to identify areas of risk or compliance concern, agreeing and co-ordinating the completion of appropriate remedial action.
- Identifying areas for Risk Management Improvement through the ongoing analysis of the Significant Risks identified by the Company
- Assisting the Compliance Manager and Compliance Director in ensuring the appropriateness of the Company’s overall Compliance Monitoring Programme taking account of internal risk assessments, external regulatory developments and the Company’s business plan.
- Undertaking or assisting in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme.
- Providing ad-hoc advice and assistance in respect of Compliance related queries received by the Compliance Function.
- Co-ordinating the application process for Approved Persons, Senior Management Functions and Certified Persons. This will include ensuring that all regulatory requirements applicable have been met, including that certificates of fitness and propriety have been issued, and all record keeping requirements
- Experience in a similar (compliance/audit) role gained within the Financial Services Industry, preferably in the Financial Adviser / Wealth Management sector.
- Relevant professional qualifications, preferably including an appropriate qualification relating to Pension Transfers (e.g. CII Certificate in Pension Transfer Advice, Diploma in Financial Planning + AF7 Pension Transfers, G60 paper of the Advanced Financial Planning Certificate).
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.