Compliance Monitoring Manager

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  • Salary:

    £66,000 plus benefits

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  • Published:

    about 1 year ago

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