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Compliance Audit Review Manager

Posted 5 February by IDEX Consulting Ltd Easy Apply Ended

Exciting new role where the Post Holder will work as part of a broader compliance team and their main areas of responsibility are:

  1. The delivery of an advice review function, assessing the adequacy of remedial action completed on file review
  2. Provide formal oversight, manage and maintain the relationship between the firm and its chosen outsourcer of file reviews
  3. The ownership, design and delivery of a risk-based compliance audit programme including the management and supervision of thematic reviews
  4. The pro-active identification of risks that the business may fail to meet the standards defined or expected by the board and FCA. This may be by any reasonable means, including but not limited to those below
  5. Excellent decision making skills and verbal and written communication skills
  • Minimum Level 4 qualified
  • Previous experience working in a new business file review team of at least one diversified financial advisory company
  • Proven track record working as a Compliance Audit Manager within a financial advisory company
  • Strong technical knowledge of products, across pensions, investments, mortgages and protection
  • Experience of design and delivery of audit reviews
  • Experience of in-depth report writing
  • Proven track record of assessing information, probing and investigating actual or potential anomalies
  • May require to travel to Surrey as part of this role

Please contact Lloyd Balfour direct for more information.

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Required skills

  • Compliance
  • Paraplanning
  • Compliance Audit Review Manager

Reference: 34399406

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