Senior Compliance Management Executive (Risk) AFH Wealth Management is proud to be one of the UK’s leading independent financial advisory and wealth management firms. We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you’ll find a variety of exciting career opportunities at AFH. This is a full-time, permanent opportunity, with hybrid working, and a competitive salary and range of benefits. The purpose of the Senior Compliance Management Executive is to support the Group Head of Risk in the on-going creation and maintenance of appropriate risk mitigation techniques. Responsibilities of the Senior Compliance Management Executive is: To have oversight of the key regulatory reporting requirements and ensure accuracy and efficiency of submission To review and report on key MI trends that have a direct impact upon the regulatory standing of the business To act as a specialist referral point for all regulatory queries that may be put forward by all departments within the business To partake unassisted in relevant strategic meetings from a risk perspective, offering advice, information and support as and when required to promote commercial development in a safe environment To maintain positive relationships with all key contributors demonstrating a supportive rather than preventative stance To ensure that all members of the Risk and wider A&R departments demonstrate high levels of communication and relationship management skills with the adviser force To manage the RME and TRME functions as and when required To develop and deliver an appropriate training programme for the Trainee Risk Management Executives, ensuring that competencies are achieved at projected milestones To oversee the day-to-day running of the T&C Operations department To participate and oversee where necessary in the compliance due diligence for potential acquisition firms, ensuring that deadlines set by the Acquisitions department are adhered to To provide authorisation and challenge where necessary for all pending controlled functions To oversee relevant variation of permission applications as and when they arise To oversee the implementation of regulatory policy and procedural change where this has an impact upon the regulatory position of the Firm To assess relevant regulatory and legislative change and develop adequate project plans with the assistance of the Project Management Office where required To oversee the implementation of external regulatory audits as and when they fall due To provide sign-off to A&R Assurance for recommended breach actions To oversee the prompt renewal of all Firm regulatory licences and insurances What we are looking for in our ideal Senior Compliance Management Executive: Key Performance Measures Achievement of all responsibilities within deadlines set Measurement of the ability to operate within a self-driven and independent framework Evidence of risk mitigation through internal and external audit Understanding of key regulatory and industry focuses Understanding of FCA reporting systems Achievement of all responsibilities within deadlines set Demonstration of strategic input at senior management level Operating within an independent framework Understanding of regulatory rules and principles to a high level Understanding of all processes and departments across the business Benefits and Perks at AFH Flexible working & holidays - Enjoy flexible working and competitive holiday allowance, with annual buy & sell scheme options and your birthday off. Plus, additional holiday days for long service. Social perks - To recognise and celebrate employees' great work we are all invited to our annual Christmas and Summer parties. Pension - We offer a contributory pension scheme with Royal London as well as death-in-service benefit. Bonus scheme - All AFH employees are offered a competitive salary and a discretionary annual bonus, following completion of a year’s service. Health and wellbeing - The MediCash app puts your health in the palm of your hands. Claim cashback on a wide selection of health and wellbeing initiatives, including discounted health club memberships and free healthcare benefits. Professional development - We are committed to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals. Apply today to register your interest in joining our team, or learn more about the benefits and perks of working at AFH and what it is like to work here via our careers website .