Job Title: Regional Compliance Manager
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:
- 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
- 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.
- 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
- Compliance Monitoring
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