Compliance Manager - Hampshire, United Kingdom - H2O Recruitment Services Ltd

H2O Recruitment Services Ltd

Verified Company

Hampshire, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Compliance Manager (South) Cemap

Fulltime, Monday to Friday (Home Based)

My client are looking to expand their amazing Compliance team to deliver their innovative, tech driven T&C Scheme.

Reporting to one of their Regional Field Operations Managers, The CM's are responsible for implementation of the Training and Competency scheme incorporating Low Risk Advisers and smaller Firm Accounts.

If you think you have what it takes to be part of our team, come and join us

There's lots to do

Effective supervision of Advisers within your span of control ensuring:
Development needs are identified and acted upon promptly
Promptly raise any concerns or areas of Risk associated with Advisers and AR Firms
FC Advisers continue to perform at required level
Continually monitor and manage any development needs as appropriate
Promptly raise any concerns or areas of risk with Advisers and AR Firms
Manage and deliver T&C scheme for Low-Risk Advisers
Ensure that there is a consistent approach to compliance and regulatory policy
Working closely with Advice Quality, ensure that all checks are followed up and any issues are dealt with promptly
Analysis of provided tech data (through agreed systems) to identify areas of concern or development of Advisers, and input appropriate development plans
Complete regular reviews of AR firms to ensure effectiveness of controls within the business, providing a report with a summary of findings and action plan to the relevant Approved Person (lower risk and smaller firms)
Complete follow up where required to ensure action points have been completed within timescales and provide guidance and assistance where needed
Effectively handle any regulatory or compliance queries received from AR firms & Advisors, raising any action points as necessary
Point of contact
Regular updates & completion of relevant back office system to ensure audit trail for activities completed
Identify and manage risk within the business (to include quality of client files, advice quality, advice process, new advisers moving through scheme, operating procedures etc.)
Audit of new ARs where required ensuring that all activity & documentation meet the necessary standard
Regular review of Risk Profiler status for Advisers
Support the Field Supervisors and Competency Development Managers where appropriate by carrying out additional activities as required
Provide additional support for AR Firms sense checks; themed reviews etc
Carry out thematic reviews as required
Proactively contribute to the wider compliance teams to improve processes and procedures to drive efficiency

About You

Ability to communicate at all levels with professionalism and integrity
Ability to manage a higher span of control for T&C scheme delivery
Ability to motivate Advisors to strive for success
Effective selfmanagement to drive efficiencies
Observation and analytical skills to identify any issues or areas of risk
Able to build effective relationships with key stakeholders
Sound problemsolving skills, with ability to plan effective contingencies and solutions
Use good judgement and selfsufficiency at all times to enable sound decision making
Excellent communication and influencing skills across a range of stakeholders to influence change and form strong working relationships
Strong organisation skills with ability to prioritise and meet deadlines
Ability to adapt and change priorities in line with business needs

What you'll need: