Regional Compliance Manager - Asset Management

  • Location:

    London, England

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £50000 - £75000 per annum

  • Contact:

    Lauren Ashwood

  • Contact email:

    Lauren.Ashwood@goodmanmasson.com

  • Job ref:

    0201202_1577978110

  • Published:

    21 days ago

  • Expiry date:

    2020-02-01

  • Start date:

    ASAP

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.

Responsibilities:

  • 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

Requirements:

  • 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
W1siziisimnvbxbpbgvkx3rozw1lx2fzc2v0cy9hb29kbwfuie1hc3nvbi9qcgcvu2fmzxjkb2jmb2dvlmpwzyjdxq

To stay safe in your job search we recommend that you visit SAFERjobs, a non-profit, joint industry and law enforcement organisation working to combat job scams. Visit the SAFERjobs website for information on common scams and to get free, expert advice for a safer job search.