A leading asset manager is looking for a Compliance Manager to support the advisory business with regulatory T&C supervision monitoring and general compliance support. You will be responsible for maintaining and monitoring Compliance/Regulation wherever appropriate in respect of the internal business to ensure FCA Regulatory requirements are being met within the business.
- Support the business Compliance Team in the allocated Region and provide Compliance support within a designated region of the advisory business, predominantly in respect of the regulatory T&C Supervision monitoring and compliance support to the advisers Managing Directors (MD) and Practice Directors (PD)
- Maintain and monitoring Compliance wherever appropriate in respect of the internal business. By conducting regular reviews of Advisers, MD and PD, to ensure FCA Regulatory requirements are being met within the business.
- Supporting the Head of Compliance within the regional offices, to ensure the Compliance Team process and procedures are followed and maintained.
Qualifications and Skills Recquired
- Diploma status level 4 in Financial Planning or minimum of FPC or CFP equivalent and working towards diploma level.
- Good working knowledge of FCA Principles and Rules
- Able to demonstrate an understanding of compliance within regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.
- Time spent in role within Financial Services Industry
- Demonstrable experience of T&C regime and implementation
- Computer Literate including use of PowerPoint
- Flexibility with hours to support field based advisers
- Driving Licence
Eames Consulting is acting as an Employment Agency in relation to this vacancy.