To support the Compliance Director in delivering high-quality, Advice, Policy and Guidance on regulatory and compliance matters to the business, whilst demonstrating commercial awareness. Lead the Compliance Advice team in the ongoing development and enhancement of the company’s compliance and regulatory risk management arrangements in accordance with the company’s regulatory obligations and risk appetite.
Key responsibilities include:
Providing and overseeing the provision of clear, accurate and timely advice on regulatory matters, including the application of relevant requirements in the FCA Handbook.
Working in conjunction with the Compliance Monitoring Manager to review business operations and procedures to ensure that they remain compliant with policies and procedures and relevant regulatory requirements.
Delivering an effective and timely process for the analysis, cascade and monitoring delivery of identified actions in response to relevant regulatory developments to ensure the business is well prepared to demonstrate compliance.
Leading the drafting of required compliance policies and procedures, developing and maintaining the Compliance Manual by seeking input from stakeholders and educating end-users on new requirements.
Preparing and delivering high quality training to staff on regulatory matters.
As required, supporting or assisting with compliance reviews or investigations led by the Compliance Monitoring Manager and working with the relevant business area to ensure that appropriate remedial actions are identified and implemented.
Deliver accurate and timely completion of regulatory returns and forms and submitting these via FCA Connect and GABRIEL.
Review of financial promotions, providing education and training to the business towards continuous improvement.
Undertaking regulatory due diligence for potential acquisitions and reporting on findings
Compiling data in response to FCA or other information requests.
Provide timely and insightful reporting on team activity to the Compliance Director and highlight areas of regulatory risk, together with details of mitigating actions.
Coaching and development of Compliance Managers, including ensuring that that they build strong working relationships and engagement with all stakeholders.
5 years or more in a wealth management environment
Diploma in Financial Planning (or equivalent)
Strong Compliance management experience as well as previous experience managing a team
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.