Job Description

COMPLIANCE ADVISORY MANAGER - EXPERIENCE OF RETAIL INVESTMENTS AND PENSIONS REQUIRED

£54K plus bonus & benefits 50% Hybrid (Bath)

REF: 4129D2

We are recruiting for our client, a leading Financial Services Group, seeking a Compliance Advisory Manager to support the business on understanding regulatory policy, procedures and process

• Support and advise on how regulated processes work
• Advise on regulatory enhancements and controls working closely with the Risk Business Partner and team
• Work closely with the Compliance lead and compliance team to support regulatory changes that may effect the business and clients
• Assist in implementing any regulatory changes to SOPs required (and necessary guidance and training provided)
• Advise on regulatory queries from the 1LOD teams and more broadly from the business and/clients
• Support the Compliance Lead and the work closely with Risk to review the emerging risks, breaches and support on remediation projects
• Support regulatory projects and initiatives
• Support to develop, implement, and maintain compliance policies and procedures
• Monitor regulatory developments and work closely with the Compliance team and lead to ensure timely updates to internal controls
• Support with conducting reviews to identify potential compliance issues
• Prepare and submit compliance reports to senior management
• Investigate and support to resolve compliance breaches or concerns
• Maintain records of compliance activities and decisions

You should have previous experience of advising on Policies and Standard Operating Procedures as well as ongoing advisory Regulatory Interpretation, covering both Pensions and Retail Investments with a good knowledge of Consumer Duty as well as the broader FCA Handbook.

Great opportunity to join rapidly expanding Compliance Dept at an exciting time with plenty of opportunities for internal progression. NB We have already filled many roles at this client including some of the senior positions hence are well placed to advise you on these

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.