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Regulatory Compliance Lead

2 months ago

Swindon, Swindon, United Kingdom Davies Talent Solutions Full time

Position Overview:

Davies Talent Solutions is seeking a proactive and dynamic Compliance Manager to join a prominent financial advisory network. This essential role involves collaborating closely with the Group Compliance team while spearheading compliance initiatives within the Wealth sector. You will provide strategic advice and consultancy to Channel Heads and the Senior Management team, supporting the organization's growth objectives.

Key Responsibilities:

  • Lead the formulation and implementation of the Compliance strategy at a Group Level, while overseeing all compliance efforts within the Wealth division.
  • Deliver expert compliance counsel and support to senior stakeholders, promoting a robust compliance culture.
  • Engage with senior leadership to ensure that commercial goals align with their obligations under the Senior Managers and Certification Regime (SMCR).
  • Assist the Head of Compliance in managing regulatory engagements, including interactions with the FCA and thematic reviews.
  • Identify compliance risks and implement strategies to mitigate them, ensuring adherence to regulatory standards.
  • Work in partnership with the Group Compliance team to establish and uphold effective compliance controls.
  • Develop strong relationships with key stakeholders throughout the organization.

This role presents an exciting opportunity to be part of a dynamic and expanding organization, offering clear pathways for career advancement. You will take ownership of compliance within the Wealth division, engage with senior stakeholders, and manage a variety of projects in a rapidly evolving environment.

Candidate Profile:

The ideal candidate will possess substantial compliance experience within Wealth or Investment Management sectors or an advisory network. A deep understanding of financial regulations and a pragmatic approach to balancing commercial and strategic objectives with regulatory requirements are essential. Excellent communication and interpersonal skills, strong analytical capabilities, and a self-motivated, results-driven mindset are key attributes for success in this role.