Compliance Assistant Manager
Financial Planing business based in the Whiteley area are recruiting for a Compliance Assistant Manager to join the team and assist in ensuring the business establishes, monitors and continually improves upon the necessary controls to contain regulatory risk.
Ideal candidates will have a background within policy implementation including file reviewing, feedback and T&C monitoring. Holding the CII Diploma in Financial Planning would be preferred, compliance qualifications favourable and any experience within DB Pension transfers would be advantageous.
Monitor and record the documentation requirements of the Advisory and Investment Management T & C Schemes.
To prepare compliance KPIs
To act as the initial point of contact for the Compliance Team
Prepare and report all compliance KPIs and the Compliance Dashboard for incorporation into the quarterly compliance report
Responsibility to ensure that the business and compliance risks which affect the key accountabilities are documented
Risk assess the relevant regulated business activities and determine the appropriate methodology for the Compliance Monitoring Reviews
Up to date knowledge of regulatory & legislative requirements
Previous compliance advisory experience
Excellent interpersonal skills
Leadership experience/ strong driver