Compliance Advisory Manager
Salary £34,000 - £36,000 per annum
Consultant Kayte Short
Date posted 17 January 2019 2019-01-172019-03-17 financial-services Wolverhampton West Midlands GB GBP 34000 36000 36000 YEAR Robert Walters https://www.robertwalters.co.uk
An excellent opportunity is available with a growing financial services business based in Wolverhampton for a Compliance Advisory Manager to join the existing team and deliver and provide advice and guidance to the business in relation to new and existing regulation.
You will ensure that you understand, maintain an awareness of and comply with regulatory requirements, risk management policies and behave in a competent and ethical manner in line with workplace culture, values and ‘Treating Customers Fairly’ principles.
Advise Colleagues and Project Teams on the scope and implications of regulation, legislation and the organisation’s compliance policies identifying potential solutions to issues as they arise
- Act as compliance representative on new projects and initiatives
- Write and present compliance reports including summaries of appropriate papers issued by the regulator identifying the potential impact on the business
- Provide compliance training or input to training programmes and identify where additional compliance training may be required or beneficial within the Team or wider organisation
- Approving the business’s Financial Promotions and communications to intermediaries and other distributors as compliant
- Support compliance inspections by Regulators, clients and other bodies and the preparation for these inspections
The Compliance Advisory Manager will possess excellent knowledge of regulatory and legislative requirements associated with originating and servicing mortgages and savings. You will have experience of embedding the Principle of Treating Customers Fairly into operational areas of the business and experience of working in a financial services or risk based environment.
This is an excellent opportunity with a growing financial services business. Please apply now or for further information contact Kayte Short at firstname.lastname@example.org