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Compliance Advisory Manager

1 month ago

Bath, Bath and North East Somerset, United Kingdom Deerfoot Recruitment Solutions Limited Full time £100,000

Deerfoot Recruitment Solutions Limited is seeking a Senior Compliance Advisory Manager to join their dynamic team in the wealth management sector. This full-time position requires a proven compliance professional with experience in financial services, specifically in a 2nd line back-office compliance role. The ideal candidate will possess a solid understanding of the FCA Handbook, including Consumer Duty, SM&CR, CASS, and ESG regulations. Key responsibilities include maintaining a regulatory development log, providing compliance guidance on new products and services, conducting compliance-themed advisory reviews, and designing compliance training programs. The successful candidate will be proficient in drafting Compliance Oversight reports and possess strong communication skills to deliver face-to-face compliance training effectively.

About the Role:

This is an exciting opportunity for a compliance professional to advance their career and make a meaningful impact in the world of compliance. The successful candidate will be responsible for ensuring the Group adheres to all relevant laws, regulations, and internal policies, including Consumer Duty, SM&CR, CASS, and ESG considerations. The ideal candidate will be able to manage FCA Reg Data and FCA Connect reporting.

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.