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Compliance Advisory Manager

London, United Kingdom
£75k - £80k
Closing date
Dec 25, 2022

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
The successful candidate will report to the 'Head of Compliance' and will help to structure a high-performing Advisory function, by providing timely and accurate compliance advice and guidance to a full range of business areas, including front office.

  • Provide compliance advice & guidance in relation to regulatory requirements.
  • Create and maintain policies and procedures in line with regulatory changes.
  • Maintain strong compliance culture across the business, dealing with a range of business areas including; Risk, Legal, Business Change, HR,
  • Handle client complaints for the firm, ensuring adherence to the documented Complaints Handling framework.
  • Analyse the root causes of complaints and identify recurrent themes.
  • Act as point of Liaison with the Financial Ombudsman Service (FOS), on all requested information for complaints. Contribute to production of MI for senior management and board.
  • Provide Advice to other areas of complaince cush as Monitoring, Reg Developments, and Fin Crime.

Experience required:
  • 5+ years UK Wealth Management, Private Banking, or Investment Management experience.
  • Excellent knowledge of FCA Handbook and UK Regulatory requirements.
  • Strong working knowledge of UK regulations including COBS, TC, COCON, SYSC, SUP, PROD, DTR, Consumer Duty and Conduct Risk.
  • Experience with COLL Funds & Platforms ideal.
  • Industry qualifications, such as; CISI Investment Compliance desirable.

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