Senior Compliance Advisory Manager

1 week ago


United Kingdom Lutine Bell Full time

Company

Lutine Bell are supporting a Investment Management firm in the South West area to appoint a Senior Compliance Advisory Manager.

Role

  • Developing and maintaining a comprehensive understanding of the relevant laws, regulations and internal policies which apply to the business.
  • Keeping the Regulatory development log alongside business impact assessments and regulatory updates within a timely manner.
  • Conducting the compliance themed advisory reviews based on the risk assessments and developing the strategies to mitigate identified risks.
  • Supplying guidance and support to the business areas on compliance matters, including the reviewal and approving of new products, services, marketing materials and remuneration.

Requirements

  • Must be willing to travel 2 days a week to Southwest offices.
  • 2nd Line experience within a Compliance Advisory role in a Wealth Management, IFA, or Platform business.
  • Working knowledge of and experience in using the FCA handbook.
  • Ability to draft the Compliance Oversight reports and other management reports.



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