The role will be responsible for leading the Policy & Technical and Compliance Support Unit teams to provide a high quality and standards driven service to business customers. Deliver directly authorised regulatory policy, support and service propositions to enable delivery of a first class and proactive service to clients.
Effectively support and manage direct reports on a day-to-day basis and ensure regulatory information and guidance is communicated effectively to key internal and external stakeholders.
Key responsibilities include:
• Develop and maintain an effective and standards driven compliance support service.
• Report key trends/compliance issues to the Head of Department to assist with service development and delivery.
• Manage team workflows to ensure minimum business standards and timescales are maintained. Assist with the production of management information on team performance.
• Effectively liaise with other relevant internal stakeholders to share information/ experience and to help ensure that the teams are fully informed of both internal service developments and external regulatory developments.
• Proactively assist with the development of the company’s compliance services by feeding into key compliance work/initiatives designed to enhance the quality of the service delivered by the business.
• Identify training/development needs of staff within the team and implement effective programmes to meet those needs.
• Accountability for monitoring the output of the FCA/other relevant regulatory organisations to assess the impact of relevant publications on the company and its clients and communicate in a timely manner.
• Facilitate the creation of timely and relevant written compliance information and guidance for distribution to internal staff and company clients.
• Ensure that the business is informed of key regulatory policy updates through the production of regulatory articles, training and presentations for delivery within the business and/or in external communications.
The Person:
• Diploma in Financial Planning (or equivalent).
• Technical knowledge and understanding of relevant legislation/regulation.
• Sound knowledge of the regulatory environment as it applies to financial advisers
To discuss the role in greater detail please contact Paul Clayton on 0161-883-2747 or send through your CV to pclayton@merje.com
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.