Job Description: This is an exciting opportunity to join a team of compliance professionals who will form an in depth and solid relationship with our AR Firm Principals, understanding their business and working with them to ensure their firm and the network remains safe

You will have the opportunity to apply your experience in working with AR Firms to coach and support them and develop unique action plans, bespoke to each individual firm within your own panel of up to 40 AR firms.

The role will involve:

• Your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.

• You will deliver Bespoke inspection visits/ AR Principal interactions and enable and encourage AR Principals to effectively govern their AR Firms & Advisers.

• You will review AR Bespoke Characteristics and behaviours identified by risk assessment as requiring supervision, educating Appointed Representatives and Registered Individuals in respect of their compliance requirements, “Treating Customers Fairly” responsibilities and achieving Good Customer Outcomes.

• 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:

• Minimum Level 4 qualification in Financial Advice

• Previous experience within the Wealth Management space

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