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|Salary||£40k to £75k|
|Location||City of London|
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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