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SalaryCOMPLIANCE CONSULTANT - FINANCIAL PLANNING / WEALTH MANAGEMENT
SCOTLAND, NORTH EAST & ORKSHIRE REGIONS
£50,000 + BENEFITS + CAR ALLOWANCE + BONUSES
Our client is an AIM listed Service Provider to many of the UK's leading Financial Advisors. Providing compliance support for over 400 directly regulated firms, ranging from large UK wide advisory firms to smaller Investment, Mortgage and Protection businesses. An incredibly exciting opportunity is now available for a Compliance Manager to form them and join part of their Senior Management Team. This is a high-profile role within the business and someone credible, professional and intelligent is required. The main focus of this role will be to lead and manage the Consultancy team. The team provides personal and bespoke compliance support to firms that subscribe to our services.
The Compliance consultant will lead by example by delivering excellent compliance support to a select allocation of client firms as well being responsible for the management and development of the Consultancy team. You will undertake regulatory visits to client firms in line with their service agreement and ensure that the content of the visit is appropriate with firm's requirements (e.g. risks assessments, supervision etc).
This will involve:
" Carry out background research of firm through: (FCA website search; Any recent technical helpdesk contact or enquiries; and other recent contact for example: last visit report, file reviews undertaken or financial promotions reviewed)
" Agree a clear agenda for the visit, highlighting and prioritising activity in line with the firm's requirements;
" Explain and assist the firm in the adoption of up to date compliance systems and procedures, for example, following a recent compliance update
" Assessing existing behaviour and practices against current regulatory legislation and "best practice";
" Quality Assurance checks of audit and compliance reports.
" Regular 1-2-1 meetings with the team to support their development in skills and knowledge.
" Maintaining up to date compliance guidance and support for the team.
" Working closely with the Policy team to help produce compliance update material.
" Supporting the Heads of Consultancy and Proposition with a variety of project work, the development of compliance propositions and solving compliance issues with practical solutions, all delivered with a hands-on approach.
This a fantastic opportunity for a seasoned "people" manager who is looking to progress their career in a high-performing environment, helping to further develop our Clients consultancy offering.
Those applying for the role should have exceptional written and verbal communication skills.
You will forge excellent working relationships with colleagues and the various firms our Client support and you will deliver practical, hands on compliance assistance.
It is also important that those applying are not afraid to challenge the status quo and ensure an outstanding customer journey. NJR 14487
