Senior Compliance Advisory Manager
4 weeks ago
Location: Bath (Hybrid - 1 days a week in the office)
Salary: Up to £100,000
Benefits: Bonus, 34 days holiday, 7% pension, life assurance, private medical, professional development opportunities
Are you an experienced compliance professional looking to take the next step in your career? Our client, a prominent player in wealth management, is seeking a Senior Compliance Advisory Manager to join their dynamic team.
In this full-time position, you will ensure the Group adheres to all relevant laws, regulations, and internal policies, including Consumer Duty, SM&CR, CASS, and ESG considerations. You'll provide vital guidance and support to various business units, helping them navigate compliance matters while identifying and mitigating potential risks.
Key Responsibilities:
Maintain a regulatory development log, delivering timely business impact assessments and updates related to Consumer Duty, SM&CR, CASS, and ESG.
Offer compliance guidance on new products, services, marketing materials, and remuneration.
Conduct compliance-themed advisory reviews based on risk assessments, particularly focusing on Consumer Duty and ESG risks, and develop effective risk mitigation strategies.
Design and implement compliance training programs to educate employees on relevant laws and regulations, with an emphasis on embedding Consumer Duty and ESG principles.About You:
To excel in this role, you should possess the following qualifications and skills:
Proven experience in financial services within a 2nd line back-office compliance role.
Solid understanding of the FCA Handbook, including Consumer Duty, SM&CR, CASS, and ESG regulations.
Proficient in drafting Compliance Oversight reports and other management documentation.
Strong communication skills to deliver face-to-face compliance training effectively.
Ability to manage FCA Reg Data and FCA Connect reporting and notifications.If you're ready to advance your career and make a meaningful impact in the world of compliance, we encourage you to apply for this exciting opportunity.
Deerfoot IT Resources Ltd is one of the UK's leading IT Recruitment Agencies, trusted by many of the UK's leading employers. Established in 1997, we have over 25 years of experience as IT Recruitment Specialists. We will never send your CV anywhere without your authorisation and only after you have seen the complete details of this opportunity. Deerfoot is acting as an employment agency for permanent hires and an employment business for contingency hires. Each time Deerfoot sends a CV to a recruiting client, we donate £1 to The Born Free Foundation ((phone number removed)). Deerfoot is also climate-positive in partnership with Ecologi.
If this role isn't the right fit for you, we have a fantastic candidate referral reward program in place. We offer payouts at both interview and placement milestones. For further details, please visit our website.
Deerfoot Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy
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