To support the Chief Risk Officer and Group Head of Compliance with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.

The role will involve:

• Maintain and deliver effective 2nd Line compliance monitoring framework on a regional basis, in line with company expectations.
• Provide compliance support to advisers and firms, including liaising with 1st line colleagues to secure positive outcomes
• Carry out remedial training and oversight with advisers and firms to deliver company compliance protocols
• Provide support to the Group Head of Compliance in maintaining and delivering Group compliance policies and assist with change management
• Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority.
•  Contribute to the content and maintenance of the Business Practices Manual.
• Review client files as directed by the Group Head of Compliance and provide feedback to advisers in line with the firm’s procedures.
• To support the Group Head of Compliance to organise and plan a programme of supervision for Financial Advisers, focusing on individual and business risk this is in line with the firms T&C Scheme Manual and the requirements of the FCA.

Key Requirements:

•  Diploma Level 4
• 3 years financial services industry experience, of which you can demonstrate key working examples of key tasks
• Previous experience of working within a field based environment

Location: Flexible Location - Manchester, Birmingham, Leeds, Newcastle, Glasgow