Compliance & Risk Manager - Leeds, United Kingdom - Reward Recruitment

Reward Recruitment

Verified Company

Leeds, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Compliance & Risk Manager

Leeds

Upto £50,000 (Subject to Experience) plus excellent benefits

Key Accountabilities:

To provide support across the business for all regulatory requirements and set and monitor policy and advice best practice compliance standards across the company.

Responsibilities:

Work closely with the directors with a view of developing the regulatory and advice policy and procedures, to develop and maintain the Compliance Best Practice Policy Manual, providing support and guidance to the advisers and across the business.
Work with colleagues to manage and deliver any operational regulatory projects.
Liaise with external Compliance Consultants to identify regulatory changes to, or implementation of new procedures, and ensure the business action tasks identified in any audits or client file reviews.
Proactively monitor regulatory market developments and through the (TBA) Committee meeting, ensure relevant aspects are brought to the attention of the Directors.
Support the Directors to identify compliance risks and implement suitable controls through a structured approach to management meetings and Board reporting.
Document the companies processes and ensure regular reviews for due diligence of the firms' Central Investment Process are completed and understood throughout the business.
Provide support to the paraplanners to develop a framework and clear criteria for assessing products and investments and to ensure consistent client suitability outcomes across the business.
Assist with embedding a strong compliance culture throughout the business.

Qualifications and Experience:

Ideally be QCF level 4 Diploma in Financial Planning, with a willingness to work towards further professional qualifications, such as Chartered status. Ideally AF3/G60 pension qualified.
Minimum of 3 years, broad compliance experience.
Experience of interpreting regulatory guidance and writing best practice business standards procedures.
An ability to understand and evaluate complex financial planning propositions
Good verbal and written communication skills, to explain, advice and instruct others.
Good time management skills, an ability to work using own initiative, to prioritise to meet deadlines and manage conflict.

How to Apply:

Please send your CV directly to Stuart at Reward Recruitment Limited or contact him directly on