Group Compliance Manager

Location: NORTH EAST

Salary: £30,000 - £35,000

Job ID: 165635

Purpose of the Role:

To support the Head of Group Compliance in maintaining and delivering effective monitoring of systems, controls and processes to safeguard the interests of our customers, advisers and the firms within the Group to meet the expectations of the Group and the Financial Conduct Authority in respect of the Fair Treatment of Customers.

To support the Chief Risk Officer, Business Standards Director and Head of Group Compliance with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.

Key Responsibilities:

  • Create and edit compliance related documents as directed to meet the requirements of the business and Financial Conduct Authority.

  • Contribute to the content and maintenance of the Business Practices Manual.

  • To assist the Head of Group Compliance in producing regulatory and other returns as required.

  • Review client files and provide feedback to advisers in line with business procedures.

  • Monitor the outputs from the business pre and post approval process reporting any findings to senior stakeholders.

  • To support the Head of Group Compliance to organise and plan a programme of supervision, focussing on individual and business risk this is in line with the firms T&C Scheme Manual and the requirements of the FCA.