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A well established asset manager are seeking a Regional Compliance Manager to join their team.
The regional team provides Compliance support within a designated region of the advisory business, predominantly in respect of the regulatory T&C Supervision monitoring and compliance support. The ideal candidate will be responsible to maintain and monitor Compliance/Regulation wherever appropriate in respect of the internal business to ensure FCA Regulatory requirements are being met within the business.
Support the Central Compliance monitoring plan
Prepare for regulatory change by identifying potential effects and support the business in the development and implementation of compliant solutions
Develop a solid working knowledge of all FCA regulated product ranges, FCA Principles and Rules
Demonstrate adherence to Training & Competence scheme (incl. Induction Courses for Practice staff)
Audit the maintenance, of Advice Management and Adviser T&C records as required
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
Demonstrable experience of T&C regime and implementation