Senior Compliance Manager (Swindon based/ hybrid)

THE COMPANY:

Our client is a well-established IFA based in Swindon, who are seeking a Senior Compliance Manager to join the expanding team.

THE RESPONSIBILITIES:

• Feeds data and narrative into reports to the Risk and Compliance Committee and supports the Compliance Director in finalising high quality and accurate reporting.
• Works with and influences Senior Management to maintain high standards of compliance within their teams and wider functions.
• Is our key contact with our Internal Audit Partner to ensure second- and third-line oversight activities are effectively managed/dovetailed
• Helps and support the preparation of leaders for any FCA visits/interactions e.g., through role plays/mock interviews/review of MI.
• Works with the Compliance Director and takes a leading role in proactively managing and tracking all FCA data requests/thematic visits to ensure high quality timely responses to data requests and professionally managed visits.
• Supports the Compliance Director in producing a bespoke Compliance Plan each year aligned to conduct risk in the business and the current regulatory environment and ensures the scope and focus of this plan can flex to meet the developing strategy and business structure and current Business Plan
• Actively liaises with other Compliance functions to consider best practice and develop group awareness of regulatory issues and vertical integration risk.
• Anticipates and actively engages in business initiatives to ensure compliance requirements are pro-actively considered.
• Influences and actively participates in the formulation of Compliance policy and procedures.
• Effectively manages the Compliance Team to plan and deliver the risk-based compliance monitoring programme. Regularly reviews and reprioritises plan deliverables to respond to emerging issues.
• Supports the Compliance Director to manage key deliverables across the team
• Develops and continuously improves compliance monitoring and control systems to ensure continuing compliance, cost effectiveness and timeliness.

EXPERIENCE REQUIRED:

• A history of working at a similar level in a Compliance function with the ability to bring a deep technical knowledge to the business.
• Ideally from a Wealth Management, Advisory and Distribution Business background or experience.
• Experience of leading Compliance support to complex regulatory change projects across multi distribution channels.
• Managing FCA relationships and interactions and preparing the business effectively to achieve positive visit outcomes.
• Experience of creating bespoke Compliance Plans linked to a Conduct Risk agenda.
• Detailed knowledge of the FCA handbook
• Understanding of advisor and wealth management business models

For further information please contact Duncan Jeffery