Compliance Partners

Recruiter
Alliance Pictor Ltd
Location
Leicester, Leicestershire
Salary
£25,000 per annum
Posted
15 Jul 2019
Closes
23 Jul 2019
Ref
1193188218
Sector
Accountancy
Our client is an award-winning and ambitious Financial Services company a leading UK provider of wealth management and employee benefits, with offices across the UK. They have enjoyed rapid growth both organically and through business acquisitions. With over 10,000 clients and nearly £9 billion of assets. Are you Passionate about compliance with experience of second-line monitoring, reviews, guidance and support and looking for an exciting new challenge? Are you Interested in seeing how an award-winning and ambitious financial services company could benefit from your expertise? They are now looking for 3 experienced Compliance Partners to join their positive and lively team - ideally to be based in the Leicester office. There will be some scope for flexible working once you have established and proven yourself. THE ROLE As a Compliance Partner, you'll be responsible for the following: Supporting and advising the group on regulatory matters (FCA CONC, SYSC, PRIN, DISP, COBS) Advising the group and your colleagues on the practical application of regulatory rules, guidance, and principles Investigating and reporting on the regulatory impact and compliance risks and recommending solutions Second line monitoring/reviews of policies, processes, and products Reviewing policies, systems, processes and effectiveness of systems and controls Being the compliance lead on group projects - ensuring compliance whilst identifying opportunities of improvement Providing training and building compliance competency and understanding throughout the group Maintaining a suite of compliance policies, procedures, and documents to a high standard Becoming a subject matter expert in key compliance areas such as GDPR, AML, MiFID II, IDD and product governance Being a compliance champion - driving a strong culture of compliance & regulatory principles such as Treating Customers Fairly As with any compliance role, the successful candidate will act with integrity, care and diligence with their focus always being on the client outcome. The client is looking for solution providers who can apply Compliance in a real-world commercial way. Key Requirements: A minimum of 2 years’ experience within a financial services compliance role Current knowledge of financial services regulations, industry best practices and processes Creative problem-solving skills and confident decision-making abilities Strong analytical skills and a good eye for detail within a fast-paced and ever-changing environment Superb planning and organisation skills - able to cope well with deadlines and use your initiative Great communication skills with an ability to influence and support people Highly desirable: Appropriate compliance qualification or significant experience in a similar compliance role within an FCA regulated environment Financial advice qualifications and experience Advanced knowledge or experience of: wealth management - regulated financial advice compliance asset management - investment product compliance employee benefits - corporate benefits compliance data protection / GDPR compliance The PACKAGE: £25-40,000 DOE Bonus A genuinely flexible & market leading benefits package including: share incentive plan group pension life assurance income protection health cash plan Don’t forget, it is flexible so that means you can pick benefits to suit you IN ADDITION, YOU CAN EXPECT: excellent career progression, with fantastic opportunities for promotion training and support to develop your knowledge a great office environment the opportunity to take part in crazy charity fund raising events and other social activities

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