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Conduct Risk Manager for Financial Advice

2 months ago

Solihull, Solihull, United Kingdom Legal & General Resources Limited Full time

Job Description:

We are seeking a highly skilled Conduct Risk Manager to join our team at Legal & General Resources Limited. As a Conduct Risk Manager, you will play a critical role in ensuring that our financial advice business operates within our conduct risk framework.

Key Responsibilities:

  • Work closely with 1st line risk teams and financial advisers to ensure that advice relating to lifetime mortgages, annuities, fund reviews, and other wealth products falls within our conduct risk framework.
  • Provide guidance and advice on potential growth areas for the business relating to advice strategy, charging structures, risk appetite, and consumer duty.
  • Develop and manage a framework for providing 2nd line oversight of conduct risk matters.
  • Undertake robust assessments of 1st line conduct risk practices and recommend actions for improvement.
  • Identify, understand, and communicate regulatory changes that would affect the business.

Requirements:

  • You must have a Level 4 or 6 Diploma for Financial Advisers or be a Chartered Financial Adviser.
  • Strong regulatory knowledge and experience of FCA rules relating to financial advice conduct risk.
  • Good understanding of quality assurance frameworks.
  • Good understanding of protection and wealth products.
  • Demonstrable 2nd line compliance experience.

What We Offer:

  • A competitive base salary.
  • A 12% car allowance.
  • A good benefits package.

About Us:

Legal & General Resources Limited is a leading financial services group and major global investor. We aim to build a better society for the long term by investing our customers' money in things that make life better for everyone.

We strive to be open, mindful, and inclusive, so we are always willing to discuss flexible working arrangements and reasonable accommodations for candidates with specific needs.