Financial Services Regulatory Partner

2 weeks ago


Southampton, United Kingdom Hays Full time

A financial services organisation located in Hampshire is actively seeking a Firm Compliance Partner. This is an exciting opportunity to become a part of a team of compliance professionals who will establish a strong and comprehensive relationship with our AR Firm Principals. They will understand their businesses and work with them to ensure that their firms and networks remain secure.
As a Firm Compliance Partner, your role is to oversee regulatory compliance and ensure that appointed representative firms and registered individuals treat customers fairly.
The following tasks are part of risk management and supervision activities:
Identifying and resolving risks related to customers, regulations, reputation, and operations.
Managing high-risk areas within the network's acceptable level of risk.
Investigating potential risks through supervisory activities. - Providing coaching and feedback to improve the quality of work.
Identifying risks and escalating them to the Supervision and Oversight Manager when necessary.
Experienced in field supervision or compliance monitoring (3-5 years minimum)
Confident communicator, particularly skilled in questioning, and able to display sound judgement when assessing risks
Experience in Network/National and IFA/restricted advice models and QCF Level 4 or equivalent Compliance & Risk qualification
Hybrid working
Bonus
Pension Scheme - A 10% non-contributory company pension scheme that can be boosted through personal contributions
26-day holiday
Private Medical Insurance - Single cover as standard. Life Assurance - 4x your salary. Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk



  • Southampton, United Kingdom Hays Full time

    A financial services organisation located in Hampshire is actively seeking a Firm Compliance Partner. This is an exciting opportunity to become a part of a team of compliance professionals who will establish a strong and comprehensive relationship with our AR Firm Principals. They will understand their businesses and work with them to ensure that their firms...

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