Regional Compliance Manager

Posted 17 October by Blakemore Recruitment
Easy Apply

Job Title: Regional Compliance Manager

Location: London

Responsibilities:

Deliver the agreed strategy and procedural objectives regarding compliance standards and technical competence and to take responsibility for the management of individuals within this remit. There are three key functions:

Strategy:

  • Maintain positive relations with the FCA
  • Monitor and interpret regulatory and data protection changes
  • Maintain policy statements and incorporate regulatory change where appropriate
  • Deliver regular staff updates and training
  • Monthly report to the board

Adviser Monitoring:

  • Manage, maintain and give effect to the Compliance Monitoring Programme
  • Continually monitor and improve service and compliance procedures
  • Identify training programme for Consultants to maintain areas of authorisation
  • Ensure CPD, SPS, T&C scheme delivered
  • Maintain and report on KPI’s
  • Observe client meetings
  • Undertake monitoring of Consultants in accordance with the Compliance Monitoring Programme, ensuring that all findings are documented and reported in a timely manner.
  • Pass on any Consultant development needs identified as part of the monitoring process to the T&C Officer.

Support Systems:

  • Ensure procedures are proportionate and promote positive engagement
  • Sign off approved products lists
  • Adapt and maintain suitability templates
  • Pre-approval of higher risk advice
  • Maintain registers and logs
  • Sign off all advertising and marketing materials
  • Investigate complaints and report to Chief Compliance Officer

This is a great opportunity to join a leading Financial Services organisation

Required skills

  • Compliance
  • Compliance Monitoring

Reference: 34942843

Bank or payment details should not be provided when applying for a job. reed.co.uk is not responsible for any external website content. All applications should be made via the 'Apply now' button.

Report this job