Compliance Monitoring Review Manager

An experienced compliance professional who will primarily focus on reviewing the independent financial advice provided to the firm's high net worth client base in order to maintain the firm's highest quality and professional standards.

Markets

  • displays excellent technical knowledge of the relevant market and available products (especially pensions and tax-efficient investments)
  • applies this knowledge to specific client circumstances, often involving sophisticated planning strategies or complex needs
  • demonstrates good working knowledge of relevant FCA regulations (COBS, ICOBS)

Clients

  • undertakes internal compliance monitoring reviews, mainly in relation to Wealth Advisory clients
  • contributes to other reviews as required, eg. those relating to Training & Competence, consumer credit activities, other office based record checks and the team's internal procedural and quality control measures.
  • quickly establishes a credible compliance presence, producing high quality reviews supported by a well-reasoned and articulate rationale

People

  • able to work independently but will also support colleagues across the wider team to ensure all reviews are completed on a timely basis
  • collaborates positively with colleagues across the team and other internal departments
  • maintains own technical knowledge and manages own development

Operations

  • monitors systems, processes and client files to ensure the consistent delivery of the firm's standards
  • undertakes any other ad hoc projects as required by people manager or business need
  • ensures that the firm's policies and procedures are embedded within the business
  • challenges standard practice where appropriate and drives innovation where appropriate