Your new company A financial services organisation located in Hampshire is actively seeking a Firm Compliance Partner. This is an exciting opportunity to become a part of a team of compliance professionals who will establish a strong and comprehensive relationship with our AR Firm Principals. They will understand their businesses and work with them to ensure that their firms and networks remain secure.
Your new role As a Firm Compliance Partner, your role is to oversee regulatory compliance and ensure that appointed representative firms and registered individuals treat customers fairly.
The following tasks are part of risk management and supervision activities: Identifying and resolving risks related to customers, regulations, reputation, and operations. Managing high-risk areas within the network's acceptable level of risk. Investigating potential risks through supervisory activities. - Conducting inspection visits and producing reports. Providing coaching and feedback to improve the quality of work. Identifying risks and escalating them to the Supervision and Oversight Manager when necessary.
What you'll need to succeed Experienced in field supervision or compliance monitoring (3-5 years minimum) Competent assessor of adviser competence who can deliver feedback Confident communicator, particu...