Senior Compliance Advisory Manager

4 weeks ago

Bath Somerset, United Kingdom Broadgate Full time

About the role

The Senior Compliance Advisory Manager is responsible for ensuring that the the business Group complies with all relevant laws, regulations, and internal policies. They will provide guidance and support to the business units to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks. The Senior Compliance Advisory Manager will also be responsible for developing and implementing compliance training programs and monitoring the effectiveness of these programs.

The role holder will support the Head of Compliance maintain a sound and robust compliance framework appropriate to the the business Group.

Key responsibilities:

  • Develop and maintain a comprehensive understanding of all relevant laws, regulations, and internal policies that apply to the the business Group.
  • Maintain Regulatory development log and provide business impact assessments and regulatory updates in a timely manner.
  • Provide guidance and support to business units on compliance matters, including reviewing and approving new products, services, marketing materials and remuneration.
  • Conduct compliance themed advisory reviews based on risk assessments and develop strategies to mitigate identified risks.
  • Develop and implement compliance training programs to educate employees on relevant laws, regulations, and internal policies.
  • Monitor and assess the effectiveness of compliance training programs and make recommendations for improvements.
  • Collaborate with internal stakeholders, such as legal, risk management, and internal audit, to ensure a coordinated approach to compliance.
  • Investigate and respond to compliance-related complaints and inquiries from regulators, clients, and employees.
  • Support the SMCR Regime by closely working with HR and submit FCA Connect forms and Directory Persons as required.
  • Support the ongoing regulatory and change programs by acting as the FCA compliance expert
  • Prepare and submit regulatory reports and filings as required.
  • Keeping management informed of significant compliance issues and developments.
  • Assisting in the analysis and production of Compliance Governance reporting.
  • Assisting in the identification and assessment of emerging risk including those arising from changes to regulatory obligations.
  • Participating in industry forums and staying informed about emerging compliance trends and best practices
  • Create and comment on compliance MI that feeds into the Compliance Officer's Board Reports
  • Management of any Compliance support staff

You will, from time to time, be required to undertake other activities that fall within your capabilities as directed by management.

About you (what we're looking for

Specialist Skills, Qualifications and Experience:

  • Robust experience in financial services in a 2nd line back-office compliance role.
  • Relevant business qualification e.g. Certified Regulatory Compliance Manager).
  • Working knowledge of and experiencing in using the FCA Handbook.
  • Excellent analytical and problem-solving skills, with the ability to identify and mitigate compliance risks.
  • Strong communication and interpersonal skills, with the ability to effectively communicate complex compliance issues to non-compliance professionals.
  • Ability to work independently and collaboratively in a fast-paced, deadline-driven environment.
  • Strong attention to detail and organizational skills.
  • Ability to draft Compliance Oversight reports and other management reports to support the Compliance Oversight Officer.
  • Ability to create and deliver specific compliance training on a face to face basis for employees to enable compliance to be embedded in the business.
  • Ability to maintain the FCA Reg Data and FCA Connect requirements for the firms reporting, notifications and SMCR requirements.
  • Ability to analyse the FCA returns from across the business to ensure they are comparative with previous returns.
  • Self-motivator.
  • Strong IT skills (Particularly Excel and other MS office applications

Desirable:

  • Similar role held in a Wrap Platform business.

Key stakeholders:

  • Senior management and board members
  • Trustees
  • Operations team
  • Sales team
  • Regulatory authorities
  • Third Party compliance contacts
  • External auditors
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