Risk Management and Oversight Leader

3 days ago


Horsham, West Sussex, United Kingdom ENGINEERINGUK Full time

About ENGINEERINGUK

We provide innovative solutions, helping financial advisers navigate complex regulatory environments.

Our state-of-the-art technology enables advisers to make informed decisions, meeting client needs and exceeding expectations.

We foster a culture of excellence, empowering advisers to achieve their goals.

Job Overview
  • Manage a specified span of control, overseeing all aspects of oversight.
  • Monitor AR firms, ensuring compliance with regulatory rules and procedures.
  • Liaise with senior management on regulatory and network issues.
Key Responsibilities
  • Apply a risk-based approach to compliance monitoring, identifying potential risks and mitigating measures.
  • Conduct thorough file reviews, accurately documenting findings and implementing corrective actions.
  • Test approved persons in respect of product knowledge and selling practices.
Requirements
  • In-depth understanding of FCA/PRA regulatory expectations.
  • Significant experience working within a network of financial advisers.
  • Strong analytical and problem-solving skills, with the ability to communicate complex information effectively.
Salary and Benefits

This role offers a competitive salary of £55,000 - £70,000 per annum.

Our comprehensive benefits package includes a dynamic work environment, opportunities for professional growth, and a generous compensation plan.



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