A well established Asset Manager are seeking a Training & Competence 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.
- Demonstrate adherence to Training & Competence scheme (incl. Induction Courses for Practice staff)
- 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
- Audit the maintenance, of Advice Management and Adviser T&C records as required
- Mitigating risk by highlighting potential Compliance, T&C and FCA breaches to senior management as appropriate
- 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