W1siziisimnvbxbpbgvkx3rozw1lx2fzc2v0cy9nzxjqzs9qcgcvam9ilwjhbm5lci5qcgcixv0

Regional Compliance Manager

  • Location

    London

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £65,000 + Benefits

  • Consultant:

    #

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/14520(L)

  • Published:

    about 1 month ago

To support the Chief Risk Officer and Group Head of Compliance with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.

The role will involve:

  • Maintain and deliver effective 2nd Line compliance monitoring framework on a regional basis, in line with company expectations.
  • Provide compliance support to advisers and firms, including liaising with 1st line colleagues to secure positive outcomes
  • Carry out remedial training and oversight with advisers and firms to deliver company compliance protocols
  • Provide support to the Group Head of Compliance in maintaining and delivering Group compliance policies and assist with change management
  • Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority.
  •  Contribute to the content and maintenance of the Business Practices Manual.
  • Review client files as directed by the Group Head of Compliance and provide feedback to advisers in line with the firm’s procedures.
  • To support the Group Head of Compliance to organise and plan a programme of supervision for Financial Advisers, focusing on individual and business risk this is in line with the firms T&C Scheme Manual and the requirements of the FCA.

 

Key Requirements:

  •  Diploma Level 4
  • 3 years financial services industry experience, of which you can demonstrate key working examples of key tasks
  • Previous experience of working within a field based environment