Compliance and Technical Manager
Compliance & Technical Manager
Are you an experienced compliance and technical manager? Able to deliver the agreed strategy and procedural objectives regarding compliance standards and technical service delivery and to take responsibility for the management of individuals within this remit.
Your Key Tasks:
- Maintain positive relations with the FSA
- Manage, maintain and give effect to the Compliance Monitoring Programme (attached)
- Continually monitor and improve service and compliance procedures
- Devise training programme for BA's to reach and maintain highest technical standards
- Oversee and manage BA's technical and compliance competency
- Deliver training programme for Consultants to maintain areas of authorisation
- Oversee and manage consultants technical and compliance competency
- Ensure procedures are proportionate and promote positive engagement
- Sign off approved products lists
- Approval of standard suitability letters
- Responsibility for pension switches, FS transfer and drawdown approval
- Monitoring, interpretation and training on legislative and tax changes
- Manage miscellaneous compliance and technical queries
- Investigate complaints and report to CO
This is a full time position based in Stevenage.
For further information please contact Emma or Stacey on:
Please note that at times due to the volume of applications we may not be able to respond to each person individually. If you do not hear from us within 7 days we?re sorry you have not been successful this time. Please do not let this stop you applying for other positions you may be suitable for. Good Luck!
1st Choice Staff Recruitment is an equal opportunities employer and acts as both an Employment Agency & Business.
This job was originally posted as www.jobsite.co.uk/job/959492785