Based in Bristol; a wealth management firm is seeking to appoint a Compliance Manager.
About The Company
The company is a leading provider of wealth and investment management services to private clients, professional advisers, charities, corporates and institutions. Combined, they manage almost £9 billion of client assets from 13 offices across the UK, employing c.500 professionals.
The firm provides a range of financial products and services to over 10 million clients globally and is listed on the Johannesburg Stock Exchange. They have attained size, strength and reputation by providing a high quality, personalised service to clients, whatever their stage of life or financial ambitions.
About The Role
Your role will be to support the Head of Advisory Compliance in providing regulatory and technical advice and expertise to the firm's Investment and Pensions business on compliance issues, identifying and managing existing and emerging regulatory and compliance risks.
You will be expected to maintain a thorough knowledge of all legislative, technical (product) and regulatory changes relating to the Business and take steps to ensure that systems and controls are put in place to ensure compliance with those requirements.
Success in this role will be measured through your ability to provide timely compliance advice and guidance to the Investment and Pensions business; with new regulatory compliance requirements implemented when due and business initiatives implemented in a compliant manner.
You will also assist in minimising regulatory risk to the business through ensuring robust systems and controls are maintained and followed; minimising the likelihood of material FCA/PRA rule breaches occur.
Skills & Experience
Successful candidates are likely to demonstrate the following:
- Extensive experience in Compliance within financial services (in-house or consultancy) preferably in a retail investments and pensions environment.
- Experience of implementing regulatory change.
- Degree and/or Professional Compliance/Regulatory Qualification e.g. Diploma in Compliance and/or Diploma in Financial Planning or be working towards this.
- Proven understanding of the regulatory environment, particularly FCA Systems & Controls and Conduct of Business regulation.
- Strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.
- Solvency II and SIMR knowledge are desirable.
- Ethical, principled, analytical and diligent.
- Well organised, self-motivated and proactive.
- Good communication and IT skills.