Compliance Review Manager
Location: Weybridge, Surrey
Salary: £45,000 - £50,000
This Compliance Review Manager position, based in Weybridge Surrey will see you using your expertise within a broader compliance team to proactively deliver an Advice Review Function, assessing the adequacy of remedial action completed on file review; you’ll also provide formal oversight, manage and maintain the relationship between the company and its’ chosen outsourcer of file reviews.
Salary range on offer is £45,000-£50,000pa plus excellent benefits
Key duties will see you:
- Assessing the adequacy of remedial actions completed by advisers following suitability file reviews
- Providing pro-active guidance and a robust response with regard to any identified trends arising from file reviews
- Assisting with collating information for internal MI
- Managing and signing off the annual fitness and propriety assessment of all financial planners and staff. Assess risk and provide management information
- Preparing a quarterly report for senior Execs on the activity completed within the role and key risk areas
- Working to help ensure achievement of the Regulator’s Conduct culture initiative is met
- Maintaining knowledge of the company’s compliance manual, T&C scheme, operational procedures and related internal bulletins
- Maintaining knowledge of the products recommended and services offered by the advisers being supported
- Assisting with the updating and maintenance of internal processes and procedures from time to time as required
- Maintaining data, records and files of the Compliance Team
- Conducting past business reviews where required and providing the Compliance Director with progress summaries and final report
- Complying with all the FCA rules and principles requirements relevant to holding a compliance position within a directly regulated firm.
- The ability to communicate, and forge strong working relationships, with the financial advisers within the business as well as managers and provide an excellent, proactive level of service
- 5 years’ compliance experience
- Strong decision-making skills
- Good negotiation and conflict resolution skills
- A proven track record within file review/sales quality together with good knowledge of the FCA handbook
- The ability to analyse MI and identify any areas of risk
- Level 4 financial services qualification
- All round knowledge of protection, pension, investment and mortgage arrangements.
A multi-award winning national firm of financial advisers offering advice to both private & corporate clients; they are an extremely client-centric business and offer an excellent working environment with a friendly, supportive and collaborative culture coupled with flexible working arrangements.
If the sound of this opportunity interests you, please apply now for further details and we’ll contact you to arrange a mutually convenient time to discuss this is in more detail to ascertain if it's something you'd like to progress with. You'll be informed of who the position is with, given more information about the role & provided with a detailed Role Profile, and you'll also be given an idea of what the interview process looks like/entails etc.
If you apply for this position, we thank you for taking the time to do so; all applications are read thoroughly. If you do not receive a response from us within 2-3 working days it will be because your application, on this occasion, has not been successful. The only reason you will be deemed as unsuccessful will be because you either do not have the key experience OR the right level of professional qualifications required for the position.
Compliance, file review, sales quality, compliance monitoring