Fabulous Great news - A Senior Compliance role linked to Highly skilled working at a SIMILAR LEVEL with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm.
Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.
This is an exciting opportunity to join a well-established firm based in Flintshire operating in the wealth management space who are seeking an experienced Senior Compliance Manager to support their next period of growth.
The role will involve taking responsibility for the following
The Senior Compliance Manager will require the requisite knowledge and skills to review and update regulatory policies and procedures, handle FCA technical queries, monitor regulatory changes, conduct file reviews, and contribute to staff and board meetings and publications.
Responsible for providing expert compliance advice and guidance to the directors and staff within the business, ensuring adherence to regulatory requirements and promoting a culture of compliance within the business.
I am recruiting for a Senior Compliance Analyst for one of my Insurance clients in the city.
Key Responsibilities
Assist in implementing and monitoring the Compliance Monitoring Plan.
Overview
This role will support the Head of Compliance and the team in maintaining the regulatory compliance framework, overseeing the network of Appointed Representatives (ARs), and ensuring compliance across the global Insurance Services entities.
Posted by Broadgate Search Ltd • £70K/yr to £100K/yr
General
The Senior Compliance Advisory Manager is responsible for ensuring that the company complies with all relevant laws, regulations, and internal policies.
They will provide guidance and support to the business units to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks.
Some Responsibilities
Provide guidance and support to business units on compliance matters, including reviewing and approving new products, services, marketing materials and remuneration.