Regulatory Compliance Officer

7 days ago


Birmingham, Birmingham, United Kingdom Elevation Wealth Management Ltd Full time
Job Description

About Elevation Wealth Management Ltd

Elevation Wealth Management Ltd is a leading financial services company that provides integrated and specialist financial advice to corporate and private individuals.

We are seeking a highly skilled and experienced Training and Competence Manager to join our team and ensure adherence to regulatory requirements.

Key Responsibilities
  • Training and Competence Management
    • Develop and implement a comprehensive Training and Competence scheme that meets regulatory requirements.
    • Ensure all staff have the necessary skills, knowledge, and expertise to perform their roles effectively.
    • Monitor and evaluate the effectiveness of the T&C scheme and make recommendations for improvement.
  • Regulatory Compliance
    • Ensure the company's regulatory requirements are met and maintained.
    • Provide guidance and advice on regulatory matters to staff.
    • Interpret regulatory requirements and implement practical, compliant solutions.
  • Quality Assurance
    • Develop and implement quality assurance processes to ensure high standards of service delivery.
    • Monitor and evaluate the effectiveness of quality assurance processes and make recommendations for improvement.
  • Communication and Collaboration
    • Build and maintain effective relationships with staff, management, and external stakeholders.
    • Communicate effectively with staff and management to ensure the T&C scheme is implemented and maintained.
Requirements
  • Qualifications
    • DipFA qualification or equivalent.
  • Experience
    • Previous experience in a similar role within a wealth management practice.
  • Skills
    • Strong knowledge of regulatory requirements and compliance.
    • Excellent communication and interpersonal skills.
    • Ability to work independently and as part of a team.
Working Arrangements

We offer a competitive salary and benefits package, including company pension, free parking, and life insurance. The successful candidate will be required to work 35 hours per week, Monday to Friday, with no weekends.



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