Compliance Risk Manager

7 days ago

Hertfordshire, United Kingdom FS Talent Group Full time
Job Title: Compliance Risk Manager - Wealth Management

We are seeking a highly skilled Compliance Risk Manager to support senior compliance functions at FS Talent Group, an established wealth management and asset management firm. The successful candidate will be responsible for ensuring the business adheres to regulatory standards by maintaining and overseeing compliance frameworks and procedures.

Purpose of the Role:

The Compliance Risk Manager will play a critical role in promoting and upholding ethical standards throughout the organization. This involves staying informed about changes in regulatory, technical, legislative, and product-related updates, and implementing robust systems and controls for all business operations.

The ideal candidate will have a strong understanding of FCA guidance, including COBS, and excellent organizational skills and computer proficiency. Professional demeanor and excellent interpersonal skills are essential for this role.

A salary of circa £55k-£65k is offered for this position, based on location and experience.


Key Responsibilities:
  • Regulatory Compliance:
    • Adhere to the Financial Services and Markets Act 2000, FCA Conduct Rules, and related guidance.
    • Maintain open and transparent communication with the regulator, providing disclosures as required.
    • Promote and uphold ethical standards throughout the organization.
    • Stay informed about changes in regulatory, technical, legislative, and product-related updates.
    • Implement robust systems and controls for all business operations, ensuring regular reviews.
    • Maintain comprehensive compliance documentation for all operational areas.
    • Provide monthly compliance reports to senior management, highlighting key issues and risks.
    • Conduct ad hoc reporting to decision-makers when critical compliance challenges arise.
    • Monitor advice quality through pre-sale and post-sale file checks.
    • Review and approve financial promotions and carry out product due diligence as necessary.
  • Training & Competence (T&C):
    • Evaluate advisor performance using a defined set of key performance indicators (KPIs).
    • Oversee development plans for advisors, offering guidance on areas for improvement.
    • Conduct observed meetings or simulated scenarios to assess advisor competencies.
    • Facilitate quarterly review sessions with advisors to monitor progress.
    • Continuously adapt the firm's T&C framework to align with regulatory updates and arrange training sessions as required.
  • Anti-Money Laundering (AML) and Data Protection:
    • Assist in updating and implementing policies on financial crime prevention and AML.
    • Ensure staff are well-informed and trained on AML and financial crime protocols.
    • Collaborate with relevant senior personnel to maintain and enforce effective data security measures, ensuring policies are followed.

Required Skills and Attributes:
  • Strong understanding of FCA guidance, including COBS.
  • Excellent organizational skills and computer proficiency.
  • Professional demeanor and excellent interpersonal skills.
  • High levels of energy and initiative.
  • Strong ethical principles and an honest approach to compliance.
  • Ability to work effectively as part of a team while achieving independent goals.
  • Focused, motivated, and driven to maintain high standards.

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