Senior Compliance Advisory Manager
Broadgate Staffing
- Bath
- Permanent
- Full-time
- Develop and maintain a comprehensive understanding of all relevant laws, regulations, and internal policies that apply to the the business Group.
- Maintain Regulatory development log and provide business impact assessments and regulatory updates in a timely manner.
- Provide guidance and support to business units on compliance matters, including reviewing and approving new products, services, marketing materials and remuneration.
- Conduct compliance themed advisory reviews based on risk assessments and develop strategies to mitigate identified risks.
- Develop and implement compliance training programs to educate employees on relevant laws, regulations, and internal policies.
- Monitor and assess the effectiveness of compliance training programs and make recommendations for improvements.
- Collaborate with internal stakeholders, such as legal, risk management, and internal audit, to ensure a coordinated approach to compliance.
- Investigate and respond to compliance-related complaints and inquiries from regulators, clients, and employees.
- Support the SMCR Regime by closely working with HR and submit FCA Connect forms and Directory Persons as required.
- Support the ongoing regulatory and change programs by acting as the FCA compliance expert
- Prepare and submit regulatory reports and filings as required.
- Keeping management informed of significant compliance issues and developments.
- Assisting in the analysis and production of Compliance Governance reporting.
- Assisting in the identification and assessment of emerging risk including those arising from changes to regulatory obligations.
- Participating in industry forums and staying informed about emerging compliance trends and best practices
- Create and comment on compliance MI that feeds into the Compliance Officer's Board Reports
- Management of any Compliance support staff
- Robust experience in financial services in a 2nd line back-office compliance role.
- Relevant business qualification e.g. Certified Regulatory Compliance Manager).
- Working knowledge of and experiencing in using the FCA Handbook.
- Excellent analytical and problem-solving skills, with the ability to identify and mitigate compliance risks.
- Strong communication and interpersonal skills, with the ability to effectively communicate complex compliance issues to non-compliance professionals.
- Ability to work independently and collaboratively in a fast-paced, deadline-driven environment.
- Strong attention to detail and organizational skills.
- Ability to draft Compliance Oversight reports and other management reports to support the Compliance Oversight Officer.
- Ability to create and deliver specific compliance training on a face to face basis for employees to enable compliance to be embedded in the business.
- Ability to maintain the FCA Reg Data and FCA Connect requirements for the firms reporting, notifications and SMCR requirements.
- Ability to analyse the FCA returns from across the business to ensure they are comparative with previous returns.
- Self-motivator.
- Strong IT skills (Particularly Excel and other MS office applications
- Similar role held in a Wrap Platform business.
- Senior management and board members
- Trustees
- Operations team
- Sales team
- Regulatory authorities
- Third Party compliance contacts
- External auditors