Primary responsibility for overseeing compliance within the firm and ensuring compliance with laws, regulatory requirements, policies and procedures across various advice areas. The role holder will take on the SMF16 and SMF17
Key responsibilities include:
- Oversight of timely and accurate production of all regulatory returns (GABRIEL, FCA Connect) and MI to the FCA ensuring compliance with relevant regulatory rules.
- Implementation of new regulatory returns or changes to regulatory rules and requirements and embed these within the firm (SM&CR)
- Ensure effective tools are in place for monitoring, risk within the firm, capital and liquidity, to deliver appropriate Risk MI.
- Enhance the governance and control framework
- Design and implementation of the Compliance Monitoring Programme
- Drive change to systems and processes to increase robo-automation through improved quality of advice algorithm
- Support the various teams through provision of regulatory guidance and help where needed
- Team and Resource management
- Qualified to QCF4 as a minimum
- Some experience within Defined Benefits transfers would be an advantage (not essential)
- A minimum of 5 years Compliance experience
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.