THE COMPANY
Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.
RESPONSIBILITIES
* Act as a key compliance advisory point across the Business. Supporting regulated financial advice activities.
* Manage and oversee the compliant handling process, ensuring timely resolution, root cause analysis and appropriate remedial action.
* Support the design, implementation and review of compliance policies and procedures, ensuring alignment with FCA requirements and Group standards.
* Deliver clear and pragmatic compliance advice to business stakeholder on regulatory matters, including suitability of advice, financial promotions, clients’ disclosures and product governance.
* Participate in compliance monitoring reviews and thematic projects, providing expert input where required.
* Support training and development initiatives to enhance compliance understanding across adviser and operational terms.
* Contribute to regular compliance reporting to the Head of Compliance Advisory and senior management.
* Monitor regulatory developments and address their impact on the firm, communicating implications and recommending actions.
EXPERIENCE REQUIRED
* Candidates MUST have ‘Level 4 CII Diploma in Regulated Financial Planning’
* Proven track record in compliance roles within established and large financial advisory firms
* Deep knowledge and understanding of FCA regulatory requirements, especially around advice, suitability, complaint handling and Consumer Duty
* Extensive experience managing and resolving complaints within a regulated financial advice environment.
* Strong technical knowledge of financial planning products and services (e.g. pensions, investments, protection, tax planning)
For further information please contact Duncan Jeffery
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