Regulatory Compliance Manager

Coast Specialist Recruitment
London (Greater)
11 Sep 2018
18 Sep 2018
Contract Type
Full Time

Our client, one of the UK’s largest and most successful Chartered IFA firms is looking for a Regional Compliance Manager to support the Group Head of Compliance in maintaining and delivering effective monitoring of systems, controls and processes to safeguard the interests of clients, advisers and the firms within the group, whilst adhering to FCA legislation and TCF.

Duties include:-

·Maintain and deliver effective 2nd line compliance monitoring framework on a regional basis, in line with Group expectations

·Providing compliance support to advisers and firms within the group

·Carry out remedial training and oversight with advisers and firms

·Group compliance policies and assisting with change management

·Create and edit compliance related documents

·Contribute to the content of the Business Practices Manual

·Reviewing compliance files

·Assisting in organising and planning a programme of supervision for Financial Advisers focusing on induvial and business risk

Candidates must be at least Level 4 Diploma Qualified and have good experience within a similar role. You should be able to form good working relationships and be able to work under pressure.

The company offer a competitive salary plus benefits and full support towards additional industry qualifications.

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