Regional Compliance Manager Expanding Advisory Company
- Employer
- Oval Recruit Ltd
- Location
- Newcastle Upon Tyne, UK
- Salary
- Competitive
- Closing date
- Jan 31, 2019
View more
- Job Role
- Compliance Accountant
- Sector
- Finance
- Contract Type
- Permanent
- Hours
- Full Time
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Regional Compliance Manager - Expanding Advisory Company Newcastle - £65,000 Package A leading UK Financial Services Group who are undergoing rapid expansion have a new challenging career opportunity for an experienced Compliance Manager with significant Private Client Advisory Experience. This is an excellent opportunity for a compliance professional to join an entrepreneurial company that has ambitious growth plans. They are looking for a proactive individual that wants to add value and contribute to the development of the department. Specifics of the role will involve -
• Add value to Compliance Department by assisting with the design and implementation of compliance procedures
• Help produce and implement the Compliance Plan and Monitoring programme.
• Identify risks that may have an impact on the business and discuss with Compliance Director as required.
• Monitor Advisors and consultants ensure that any training or development requirements are attended to. Highlight any findings within the monitoring programme.
• Investigate complaints and errors, following internal and FCA guidelines. Ensure all records of updated and recorded in line with procedure.
• Educate all staff on polices and changes that could affect the business.
• Provide a Compliance induction to all new joiners and ensure that they have a full understanding of company policy and requirements.
• Help manage compliance projects. To apply for the position, you must have field based Private Client Compliance Advisory experience, hold a full diploma plus hold, or be working towards, an additional pension qualification R04; J04; J05; AF3 (being replaced by AF7) at least one of these) - R08 would be a bonus and be experienced in dealing with pension and investment products. In return the offer:
• Exciting career development prospects
• The chance to have a real impact on company growth
• Fantastic remuneration package For more information please contact Briony Malden This job was originally posted as www.totaljobs.com/job/85112960
• Add value to Compliance Department by assisting with the design and implementation of compliance procedures
• Help produce and implement the Compliance Plan and Monitoring programme.
• Identify risks that may have an impact on the business and discuss with Compliance Director as required.
• Monitor Advisors and consultants ensure that any training or development requirements are attended to. Highlight any findings within the monitoring programme.
• Investigate complaints and errors, following internal and FCA guidelines. Ensure all records of updated and recorded in line with procedure.
• Educate all staff on polices and changes that could affect the business.
• Provide a Compliance induction to all new joiners and ensure that they have a full understanding of company policy and requirements.
• Help manage compliance projects. To apply for the position, you must have field based Private Client Compliance Advisory experience, hold a full diploma plus hold, or be working towards, an additional pension qualification R04; J04; J05; AF3 (being replaced by AF7) at least one of these) - R08 would be a bonus and be experienced in dealing with pension and investment products. In return the offer:
• Exciting career development prospects
• The chance to have a real impact on company growth
• Fantastic remuneration package For more information please contact Briony Malden This job was originally posted as www.totaljobs.com/job/85112960
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