Regional Compliance Manager

London (Greater)
11 Oct 2018
10 Nov 2018
Contract Type
Full Time

To support the Chief Risk Officer and Group Head of Compliance with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.

The role will involve:

  • Maintain and deliver effective 2nd Line compliance monitoring framework on a regional basis, in line with company expectations.
  • Provide compliance support to advisers and firms, including liaising with 1st line colleagues to secure positive outcomes
  • Carry out remedial training and oversight with advisers and firms to deliver company compliance protocols
  • Provide support to the Group Head of Compliance in maintaining and delivering Group compliance policies and assist with change management
  • Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority.
  • Contribute to the content and maintenance of the Business Practices Manual.
  • Review client files as directed by the Group Head of Compliance and provide feedback to advisers in line with the firm’s procedures.
  • To support the Group Head of Compliance to organise and plan a programme of supervision for Financial Advisers, focusing on individual and business risk this is in line with the firms T&C Scheme Manual and the requirements of the FCA.

Key Requirements:

  • Diploma Level 4
  • 3 years financial services industry experience, of which you can demonstrate key working examples of key tasks
  • Previous experience of working within a field based environment

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