Practice Compliance and Risk Management Lead

3 weeks ago


Telford, Telford and Wrekin, United Kingdom NJR Recruitment Full time
Key Responsibilities
  • Observe and provide feedback to advisers, ensuring they adhere to regulatory requirements.
  • Support and develop a team with diverse experience and skills.
  • Supervise a team, complete 1-1's as required, and summarise findings for Compliance meetings.
  • Report any findings of non-compliance or issues that could cause client detriment.
  • Ensure compliance with the Financial Services and Markets Act 2000 and relevant FCA rules at all times.

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