Senior Compliance Advisory Manager
Location: Bath (Hybrid - 1 day a week in the office)
Salary: Up to £100,000
Benefits: Bonus, 34 days holiday, 7% pension, life assurance, private medical, professional development opportunities
Are you an experienced compliance professional looking to take the next step in your career? Our client, a prominent player in wealth management, is seeking a Senior Compliance Advisory Manager to join their dynamic team.
In this full-time position, you will ensure the Group adheres to all relevant laws, regulations, and internal policies, including Consumer Duty, SM&CR, CASS, and ESG considerations. You'll provide vital guidance and support to various business units, helping them navigate compliance matters while identifying and mitigating potential risks.
Key Responsibilities:
* Maintain a regulatory development log, delivering timely business impact assessments and updates related to Consumer Duty, SM&CR, CASS, and ESG.
* Offer compliance guidance on new products, services, marketing materials, and remuneration.
* Conduct compliance-themed advisory reviews based on risk assessments, particularly focusing on Consumer Duty and ESG risks, and develop effective risk mitigation strategies.
* Design and implement compliance training programs to educate employees on relevant laws and regulations, with an emphasis on embedding Consumer Duty and ESG principles.
About You:
To excel in this role, you should possess the following qualifications and skills:
* Proven experience in financial services within a 2nd line Back Office compliance role.
* Solid understanding of the FCA Handbook, including Consumer Duty, SM&CR, CASS, and ESG regulations.
* Proficient in drafting Compliance Oversight reports and other management documentation.
* Strong communication skills to deliver face-to-face compliance training effectively.
* Ability to manage FCA Reg Data and FCA Connect reporting and notifications.
If you're ready to advance your career and make a meaningful impact in the world of compliance, we encourage you to apply for this exciting opportunity.
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