Compliance Manager

MY CLIENT is a successful Financial Planning firm backed by a Nationally recognised network with various offices across the South but this role would be mainly based within their Swindon office or remote home working combined with some travel expectations due to engaging with advisers in other locations being essential

They have a unique opportunity for a Practise Supervisor ( T&C Supervision) to join their business. In return the successful candidate will receive a competitive salary and benefits package with agile flexible working.

PURPOSE

• To provide advice and guidance regarding compliance requirements to the Director's; to control risks and assuring excellent compliance management across the business

• To develop and maintain business quality standards amongst the financial and mortgage advisers to ensure good client outcomes

• To undertake an in-depth risk assessment review of practice advisers in line with the assessment criteria and frequency defined within their networks T&C scheme

KEY OBJECTIVES

• Act in accordance with the FCA's Statement of Principles ensuring business quality and adequate supervision of advisers

• Complete the activities set out in the Network Training and Competence Scheme to manage risks and ensure advisers overall competence is maintained and assessed - emphasis is on showing advisers 'how to' in accordance with the SAF

• Maintain effective communications with all relevant parties and stakeholders

• Be a centre of knowledge for the marketplace, networks proposition, processes, and systems

• Undertake activities in a professional manner with the overall objective of effectively managing risk, e.g. agree and create an appropriate remediation plan

KEY ACTIVITIES

• Identify and manage compliance risks as set out in the Networks T&C Scheme

• To adhere to Company processes regarding FCA compliance and Treating Customers Fairly

• Support the business in achieving its strategic objectives

• Attend Senior Management Team Meetings and report to the Board on adherence to compliance processes

• Work with Directors, Management and staff to ensure that the business implements and maintains suitable systems and controls to meet regulatory requirements

• Raise regulatory awareness through training in the business and at team meetings

• Evaluate the efficiency of controls and improve them continuously

•Prepare reports for senior management and Network as appropriate

• Ensure that DPA, FCA, TCF and other regulatory requirements are met across the business

• Supervise advisers according to the risk assessment criteria allocated by the T&C Supervision management team

• Undertake face to face meetings with advisers to deliver necessary assessments and interventions supported by complimentary email contact as appropriate

• Identify and escalate any instances of regulatory breaches via appropriate governance

QUALIFICATIONS/EXPERIENCE

• Holds Level 4 Diploma qualification or equivalent

• An established compliance background with proven experience as a Governance Director/Compliance Manager with risk analysis and problem-solving skills

• Confident knowledge of FCA Guidelines and be up to date on all regulation change

• A strong communicator; able to liaise at all levels within the business up to CEO level