Compliance and Business Manager
Excellent opportunity to join a leading Financial Planning Firm in varied role involving both Compliance and Business Management The successful candidate will provide direction to the business in all aspects of relevant regulatory compliance along with managing the workload of both the Paraplanning an administration teams. An excellent career move for an experienced compliance manager.
Setting up a framework of compliance monitoring and carrying out compliance monitoring activities
Developing MI for the business on outcome of reviews
Providing feedback to the Financial Planners on outcome of reviews.
Maintaining knowledge of the current regulatory environment.
Identifying compliance risks.
Reviewing policies and procedures to ensure they comply with current legislation
Assisting with employee training.
Identifying staff issues and responding to their requirements
Assist with Reporting
Assist with management of complaints in line with FCA requirements
Carrying out Due Diligence checks on providers
Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.
Good knowledge and understanding of FCA regulations
Excellent Knowledge of the FCA Handbook and regulatory requirements.
Ability to communicate at all levels
Ability to identify key issues and multi -task under tight deadlines
Ability to perform multiple tasks in a fast-paced team environment and work as a team player
Proficient in Outlook, Word, PowerPoint and Excel
If your skills and experience match this role, please forward your CV in a word format Elliott James Recruitment is acting as an Employment Agency in relation to this vacancy
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