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Regulatory Compliance Lead

2 months ago

Fareham, Hampshire, United Kingdom Dynamite Recruitment Full time
Position Overview

A part-time opportunity for a Compliance Lead is available within a distinguished independent Financial Advisory firm. We prioritize finding the right individual and are open to flexible working arrangements regarding days and hours.

Key Responsibilities

As the Compliance Lead, your primary role will involve:

  • Identifying and Evaluating Regulatory Risks: You will assess potential compliance risks and propose effective solutions that align with both client needs and business objectives.
  • Collaboration: Work in close partnership with financial advisors, paraplanners, and administrative staff to ensure that compliant best practices are integrated throughout the organization.
  • Monitoring and Feedback: Oversee paraplanning processes, suitability assessments, client documentation, and advisory services, providing constructive feedback as necessary.
  • Compliance Documentation: Create, update, and maintain precise compliance records, registers, and procedural guidelines.
  • Training and Development: Conduct training sessions and presentations to enhance compliance knowledge and awareness among colleagues.

We offer flexibility in working days and hours to accommodate the right candidate.