Regulatory Manager

£30000 - £35000 per annum
13 Nov 2018
11 Dec 2018
Recruitment Genius Ltd
Contract Type
Full Time
Salary £30,000 - £35,000 (depending on experience)

This company is set up to make pension savings advice clearer, easier and more convenient for clients. As a result, they have developed a way of doing things that is different to most, if not all, other independent financial advisers: where they do all of the hard work for their clients. By February 2018 they were helping over 14,000 people and the pension savings they manage are now in excess of £½ billion. They are very proud of that.

Purpose of the role
To assist the Head of Compliance in ensuring the company is complying with the relevant legislative and regulatory standards.

Role Responsibilities
- Keep up to date with relevant laws, regulations, and industry/FCA guidance and practice
- Monitor the company's compliance with laws, regulations and its policies
- Oversee and manage the regulatory teams
- Oversee the creation and maintenance of the compliance manual, policies and procedures
- Oversee thematic reviews of company processes and compliance policies
- Assist the Head of Compliance with any projects or tasks
- Produce a monthly report for the Head of Compliance
- Study towards completing CII qualifications

What are they looking for?

- Knowledge of the relevant regulations and legislation
- Previous experience in a financial services firm or compliance role
- Strong attention to detail
- Excellent communication skills (verbal and written)
- Strong interpersonal skills
- Effective organisation and time management
- Ability to interpret and analyse information
- Good research skills

- Educated to degree level in a relevant subject (Law or Business)
- Level 4 Financial Adviser Diploma Qualified (or working towards this)
- Previous experience in compliance management

What do they offer?
- Full training for the role
- CII qualifications
- Private health insurance and death in service cover
- Company pension scheme
- 25 days holiday plus bank holidays
- PartyFina social committee
- Treatments
- Birthday day off and vouchers
- And much more ….

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