Regional Compliance Manager
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.
- 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