Job Description: The role will be responsible for maintaining and delivering effective monitoring of systems and ensuring the business meet the expectations of the FCA in the coaching, advising and checking of advice given.
Key responsibilities include:
•Provide accurate advice and guidance regarding compliance within regulatory requirements.
•Review and approve financial promotions and all marketing literature.
•Report on compliance and quality matters, highlighting possible risks, making appropriate recommendations and implementing them.
•Acting as compliance representative on key business and regulatory projects and initiatives, providing advice and proactive challenge to ensure regulatory and conduct compliance and fair customer outcomes
•Review and monitor customer complaints where required, complete MI, contribute to Root Cause Analysis, and to submit regulatory reports.
•Monitor Training & Competence (T&C) arrangements throughout the business.
•Complete tasks in accordance with the Compliance Plan as set out in line with FCA and strategic business objectives.
•Update and Maintain a working knowledge of the FCA Conduct of Business rules and implications for the business.
•Minimum Level 4 qualified or equivalent
•Must have previous experience working within the Wealth Management space.
•Minimum 3 years’ operating in a Compliance focussed role.