Compliance Advisory Manager
4 weeks ago
Job Description
Senior Compliance Advisory Manager
Location: Hybrid - 1 days a week in the office
Salary: Up to £100,000
Benefits: Bonus, 34 days holiday, 7% pension, life assurance, private medical, professional development opportunities
We are seeking a Senior Compliance Advisory Manager to join our dynamic team. As a prominent player in wealth management, our client is looking for an experienced compliance professional to ensure the Group adheres to all relevant laws, regulations, and internal policies.
In this full-time position, you will provide vital guidance and support to various business units, helping them navigate compliance matters while identifying and mitigating potential risks.
Key Responsibilities:
- Maintain a regulatory development log, delivering timely business impact assessments and updates related to Consumer Duty, SM&CR, CASS, and ESG.
- Offer compliance guidance on new products, services, marketing materials, and remuneration.
- Conduct compliance-themed advisory reviews based on risk assessments, particularly focusing on Consumer Duty and ESG risks, and develop effective risk mitigation strategies.
- Design and implement compliance training programs to educate employees on relevant laws and regulations, with an emphasis on embedding Consumer Duty and ESG principles.
About You:
To excel in this role, you should possess the following qualifications and skills:
- Proven experience in financial services within a 2nd line back-office compliance role.
- Solid understanding of the FCA Handbook, including Consumer Duty, SM&CR, CASS, and ESG regulations.
- Proficient in drafting Compliance Oversight reports and other management documentation.
- Strong communication skills to deliver face-to-face compliance training effectively.
- Ability to manage FCA Reg Data and FCA Connect reporting and notifications.
We encourage you to apply for this exciting opportunity to advance your career and make a meaningful impact in the world of compliance.
Deerfoot Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy.
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