As a Compliance Partner in the business, your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.
The role will involve:
• With your own panel of firms, you will review AR bespoke characteristics and behaviours identified by risk assessment as requiring supervision.
• You will build strong relationships with AR Principals and work with them to help them achieve effective governance of their AR Firms & Advisers whilst adhering to company standards.
• Working with the firm and other business departments, you will identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified.
• The role will also see you manage areas of risk to within Network appetite and identify and investigate areas of risk through Supervisory activity as well as review and assess risk assessment results and risk analysis data to identify AR firm and adviser risk and apply appropriate controls.
Key Requirements:
• High-level of experience within field supervision or compliance monitoring and be a competent assessor for firms and advisers.
• You will have experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent.
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.
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