Regulatory Affairs Manager

1 month ago


Harpenden, Hertfordshire, United Kingdom CV-Library Full time
Senior Compliance Role

Our client, a leading provider of Financial Planning services, is seeking a highly experienced Compliance Officer to join their team in Hertfordshire. As a key member of the Senior Management Functions 16 and 17, you will be responsible for overseeing compliance, T&C and AML functions.

Key Responsibilities:

  • Support the Senior Management Functions 16 and 17, ensuring the company operates within the guidelines of the Financial Conduct Authority.
  • Ensure quality of advice maintained & monitored via pre-sale checks of a selection of advice files and post-sale checks.
  • Review and sign-off financial promotions.

Requirements:

  • Excellent Financial Services compliance background with experience in Financial Planning/Wealth Management compliance.
  • Strong analytical and problem-solving skills, with the ability to maintain accurate and detailed records.
  • Excellent communication and interpersonal skills, with the ability to work collaboratively as part of a team.

What We Offer:

  • An attractive salary of £62,000 per annum.
  • A comprehensive benefits package, including hybrid working arrangements and opportunities for career growth and development.


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