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Regional Compliance Manager

Salary £40k to £75k
Type Permanent
Location City of London
Sectors Compliance
Job Reference T3A/AXP/33313
Contact Adam Pollard
Date posted 19-12-2019

BRUIN Financial has partnered with a leading UK Asset Management House who are looking for a Regional Compliance Manager to join their Compliance Team.

In this role as the Regional Compliance Manager you will be responsible for:

• Building relationships with Business and Legal Compliance & Risk colleagues. Support the Central Compliance monitoring plan.
• Preparing for regulatory change by identifying potential effects and support the business in the development and implementation of compliant solutions.
• Supporting advisers in the completion of CPD and in in renewing Statements of Professional Standing and Review internal licences.
• Developing a solid working knowledge of all FCA regulated product ranges, FCA Principles and Rules.

The ideal candidate will have:

• Diploma status level 4 in Financial Planning or minimum of FPC or CFP equivalent and working towards diploma level.
• Good working knowledge of FCA Principles and Rules
• Able to demonstrate an understanding of compliance within regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.
• Time spent in role within Financial Services Industry
• Demonstrable experience of T&C regime and implementation

For more information please contact Adam Pollard.

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Contact Adam about this job

AVP, Consultant