Overview
To ensure compliant delivery of service excellence and operational effectiveness, ensuring that internal policies and procedures are up to date and adhere to FCA and other regulatory requirements. Monitoring and reporting on corporate standards with regard to compliance with all regulatory requirements.
Key Responsibilities:
- Responsible for the creation, evolution, and implementation of an appropriate monitoring regime across all group entities to ensure compliance standards are maintained and timely remedial actions are taken where necessary.
- Responsible for the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant group-level regulatory returns.
- Ensure financial promotions across the group meet regulatory and internal business standards prior to approval, maintaining consistency in interpretation and application.
- Identify all areas across the group where compliance oversight is required to ensure regulatory requirements and industry best practices are met
- Stay informed of changes in the regulatory landscape and assess potential impacts on the group's operations, working proactively with senior colleagues to develop plans that ensure continued compliance.
- Ensure all change initiatives are managed within the appropriate risk management framework (including financial and operational risk) and follow the group's authorisation structure for any process amendments.
Experience & Qualifications:
- CII level 4 Diploma in Financial Services and/or relevant compliance qualifications
- Working knowledge of FCA Principles and Rules
- Previous experience in a similar role within the Wealth Management and Financial Planning industry
