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Financial Planning Compliance Manager

London

£400 - £500 per day

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ROLE: Financial Planning Compliance ManagerSECTOR: Wealth ManagementRATE: Market RateLOCATION: LondonKey ResponsibilitiesAct as first point of contact for the financial planning business acting, promoting compliance awareness and good practice in compliance and T&C throughout Financial Planning.Provide advice and assistance as requested, providing compliant, pragmatic solutionsAssist the financial planning business to manage regulatory risk, including risk identification, assessment, mitigation and controlProduce accurate and timely monthly reports regarding activity and issuesHelp implement group projects, working closely with different departments to ensure compliance with operating and compliance proceduresAttend and support relevant financial planning management meetingsWork with team members to ensure all issues identified through monitoring, complaints and changes to regulations are appropriately addressed, providing or assisting in delivery of training as necessaryIn conjunction with other team members, work with the central Sales, Strategy & Operations team on all financial planning standards, fact finds, suitability reports etc.Support the Compliance monitoring team and your colleagues, including the wider Risk & Compliance teamKeep a watching brief on T&C from a SYSC 6 oversight perspectiveFrom a risk management perspective as an adviser within Tilney you are responsible for:Identifying any risks to the firm with regard to areas of responsibility and recording these on the risk system in conjunction with the Risk Champion for business area.Ensuring that any risks are effectively evaluated, managed and mitigated.Ensuring that risk controls are designed to be effective and that any control breakdowns are reported to the business areas Risk Champion.Skills And QualificationsExcellent written and verbal communication skills including the ability to influence at all levels with good judgement and decision making skills; the ability to work with a good degree of autonomy, individually, and as part of a team; ability to deliver training and presentations; strong analytical and numerical skillsCompetent using Microsoft packages such as Word, Excel and Outlook; excellent knowledge of FCA Rules in particular SYSC & COBS with ability to understand new regulation as it arises; strong experience in a compliance role within an asset/wealth managerQualifications: Degree holder preferable; CII level 4 qualified, CISI Compliance Diploma

Posted 142 days ago

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