Regulatory Complaints Manager - London, United Kingdom - Davies Resourcing

Davies Resourcing

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

My client is a leading Investment and Wealth Management firm.

Due to business growth and acquisition the firm are seeking to expand the Compliance team and a newly created role has arisen to focus on providing advice to the business in relation to handlingclient complaints correctly and promptly.

Working as part of the Compliance team, this a key role working closely with the business in an advisory capacity.

You will be responsible for

Advising the business on best practice and legislation ensuring compliance with regulatory requirements and the firm's Compliance Policies and Procedures.
Build and maintain positive working relationships with the business areas to promote a strong compliance culture.
Support the handling of client complaints, ensuring adherence to the documented Complaints Handling framework.
Produce Management Information for governance committees, senior management and the Board.
Provide support to the other Compliance teams, such as Monitoring & Testing, Financial Crime, Regulatory Developments and Strategy.
Assist with providing regulatory input to projects, supporting on Compliance projects, working as part of a team and leading work streams.
Assist in the implementation of Compliance policy and the establishment of inhouse controls
Assist in designing training material and the delivery of training to the wider business.
Assist management in ensuring that the Group conducts itself in accordance with FCA regulatory compliance, the Conduct Risk framework, the Consumer Duty and industry best practice.
A strong compliance background within Wealth Management, Investment Management or Private Banking.
Some knowledge and experience of handling regulatory complaints and acting in an advisory capacity.
Good product and investment management knowledge, including investment suitability.
A working knowledge of UK regulations including COBS, TC, COCON, SYSC, SUP, PROD, DTR, DISP, Consumer Duty and Conduct Risk.