Are you an experienced Compliance Manager, do you want to work for in my opinion one of the best brokerages in the South West, if so read on…..
Assisting the MD you will be responsible for all of the day to day risk and compliance matters, implementing action plans to mitigate risks and resolve any areas of non-adherence, leading the
se revised or new risk and compliance processes to ensure fair customer outcomes and regulatory compliance.
You will review documentation and communication to ensure all the content is clear, fair, not misleading.
Liaising with external parties as required to facilitate audits, and track and manage resulting actions through to completion will also be your responsibility.
On a quarterly basis you will co-ordinate the risk and control registers and completion of quarterly conduct risk MI for submission.
You will lead the maintenance of the CII Chartered status and professional qualifications administration.
It is vital that they can take ownership of first line governance. It's a broad, senior role and on the senior leadership team which involves a large amount of regulatory and compliance input, dealing with complaints, managing file audit process across the business and implementing actions to improve quality outputs.
You will have knowledge of key regulatory requirements including ICOBs, DISP, GDPR, Strong leadership skills, be a strong communicator with ability to articulate requirements to a all levels of the business.
Sounds interesting doesn't it….get in touch to discuss further.