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Compliance Manager

H2O Recruitment Services
Derbyshire, UK
Closing date
3 Feb 2021

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Contract Type
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Job Details

Reporting to the Regional Supervision Manager, the role is responsible for implementation of the Training and Competency scheme incorporating Low Risk Advisers and smaller Firm Accounts

The role is office or home based


- Effective supervision of Advisers within your span of control ensuring:

_ Development needs are identified and acted upon promptly

_Promptly raise any concerns or areas of Risk associated with Advisers and Firms

_FC Advisers continue to perform at required level

_Continually monitor and manage any development needs as appropriate

_Promptly raise any concerns or areas of risk with Advisers and Firms

_Manage and deliver T&C scheme for Low Risk Advisers

_Ensure that there is a consistent approach to compliance and regulatory policy

_Working closely with Advice Quality, ensure that all checks are followed up and any issues are dealt with promptly

_Analysis of provided tech data (through agreed systems) to identify areas of concern or development of Advisers, and input appropriate development plans

_Complete regular reviews of firms to ensure effectiveness of controls within the business, providing a report with a summary of findings and action plan to the relevant Approved Person (lower risk and smaller firms)

_Complete follow up where required to ensure action points have been completed within timescales and provide guidance and assistance where needed

_Effectively handle any regulatory or compliance queries received from firms & Advisors, raising any action points as necessary - Point of contact

_Regular updates & completion of relevant back office system to ensure audit trail for activities completed

_Identify and manage risk within the business (to include quality of client files, advice quality, advice process, new advisers moving through scheme, operating procedures etc.)

_Audit of new ARs where required ensuring that all activity & documentation meet the necessary standard

_Regular review of Risk Profiler status for Advisers

_Support the Field Supervisors and Competency Development Managers where appropriate by carrying out additional activities as required

_Provide additional support for AR Firms - sense checks; themed reviews etc

_Carry out thematic reviews as required

_Proactively contribute to the wider compliance teams to improve processes and procedures to drive efficiency

Skills & Behaviours

* Ability to communicate at all levels with professionalism and integrity

* Ability to manage a higher span of control for T&C scheme delivery

* Ability to motivate Advisors to strive for success

* Effective self-management to drive efficiencies

* Observation and analytical skills to identify any issues or areas of risk

* Able to build effective relationships with key stakeholders

* Sound problem-solving skills, with ability to plan effective contingencies and solutions

* Use good judgement and self-sufficiency at all times to enable sound decision making

* Excellent communication and influencing skills across a range of stakeholders to influence change and form strong working relationships

* Strong organisation skills with ability to prioritise and meet deadlines

* Ability to adapt and change priorities in line with business needs

Experience & qualifications

* CEMAP or equivalent financial services qualification

* Good Microsoft Office Knowledge (Word/Excel)
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