The role will provide compliance support and guidance to internal and external customers in all areas of regulatory and legislative (non legal) requirements.
Key responsibilities include:
• Manage team workflows to ensure minimum business standard and timescales are maintained. Assist with the production of management information on team performance.
• Identify training/development needs of staff within the team and implement effective programmes to meet those needs.
• Report key trends/compliance issues to the Head of Department to assist with service development and delivery.
• Awareness of operational and regulatory risk, which may impact on the business.
• Responsible for reporting to their line manager any risk which may impact on the business.
• To act on management information supplied by the Compliance Manager and any coaching or training support provided to develop performance
• Diploma in Financial Planning qualified (or equivalent)
• Previous experience in a Compliance focussed role within a wealth management business
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.