Training & Competency and Compliance Supervisor
2 weeks ago
- Liaising with compliance on regulatory matters, assessing and advising on how changes impact the business (retail advice and DC consulting)
- With guidance from the compliance team, lead the implementing and monitoring of appropriate policies for compliance with FCA regulations
- Rolling out training to the team on compliance and Excellence (quality) matters
- Supporting the compliance team with any FCA interactions related to the Financial Planning team. Ensuring key risks and controls are appropriately identified and assessed, including reporting on risk related matters and monitoring KPIs e.g. persistency, client feedback, concentration of provider recommendations
- Ensuring relevant colleagues meet the requirements and follow the relevant process to become certified in the client dealing function under the SMCR regime, managing reminders to certified individuals about their ongoing responsibilities
- Acting as a complaint handler for regulated complaints and ensuring an appropriate number of complaint handlers are trained within the team
- Leading on Excellence (quality) matters for the team, cascading information to local champions and setting their objectives in respect of promoting adherence to WTW Excellence polices which include data security, use of disclaimers, new work policy etc.
- Co-ordinate regular and ad-hoc Excellence reviews and Internal Audits
- Controlling the sign-off of new regulated advisers
- Developing, updating and compliance monitoring of regulated advice processes
- Updating and signing off new client documentation (eg contracts) in conjunction with compliance as needed.
- Observing retail client meetings, owning the ongoing adviser testing and competency practices and training plans where needed
- Level 4 Diploma Qualified (or close to being qualified)
- Experience in working within a compliance role within financial services previously. Ideally, within a Wealth Management / Financial Planning / IFA environment. Exposure to Defined Contribution Consulting would be helpful.
- Strong technical knowledge particularly around pensions and investments.
- Strong understanding of the FCA and an ability to stay on top of ever-changing regulations.
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Training & Competency and Compliance Supervisor
1 month ago
London, United Kingdom Willis Towers Watson Full timeTo support our growing team, we are looking for an experienced T&C Supervisor, who can also lead our internal quality initiatives (our “Excellence” process), alongside supporting the Financial Planning and Defined Contribution (DC) Consulting teams with routine compliance matters, working closely with the compliance team. WTW has a reputation for...
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Training & Competency and Compliance Supervisor
2 weeks ago
London, United Kingdom WTW Full timeTo support our growing team, we are looking for an experienced T&C Supervisor, who can also lead our internal quality initiatives (our “Excellence” process), alongside supporting the Financial Planning and Defined Contribution (DC) Consulting teams with routine compliance matters, working closely with the compliance team.WTW has a reputation for...
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London, United Kingdom Willis Towers Watson Full timeTo support our growing team, we are looking for an experienced T&C Supervisor, who can also lead our internal quality initiatives (our “Excellence” process), alongside supporting the Financial Planning and Defined Contribution (DC) Consulting teams with routine compliance matters, working closely with the compliance team. WTW has a reputation for...
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London, United Kingdom Willis Towers Watson Full timeTo support our growing team, we are looking for an experienced T&C Supervisor, who can also lead our internal quality initiatives (our “Excellence” process), alongside supporting the Financial Planning and Defined Contribution (DC) Consulting teams with routine compliance matters, working closely with the compliance team. WTW has a reputation for...
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Deputy Compliance Officer
2 days ago
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London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. THE RESPONSIBILITIES: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed...
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Head of Compliance
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London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. THE RESPONSIBILITIES: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and...
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Head of Compliance
6 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. THE RESPONSIBILITIES: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and...