| London Jobs |
| Manchester Jobs |
| Liverpool Jobs |
| Nottingham Jobs |
| Birmingham Jobs |
| Cambridge Jobs |
| Glasgow Jobs |
| Bristol Jobs |
| Wales Jobs |
| London Jobs |
| Manchester Jobs |
| Liverpool Jobs |
| Nottingham Jobs |
| Birmingham Jobs |
| Cambridge Jobs |
| Glasgow Jobs |
| Bristol Jobs |
| Wales Jobs |
| Oil & Gas Jobs |
| Banking Jobs |
| Construction Jobs |
| Top Management Jobs |
| IT - Software Jobs |
| Medical Healthcare Jobs |
| Purchase / Logistics Jobs |
| Sales |
| Ajax Jobs |
| Designing Jobs |
| ASP .NET Jobs |
| Java Jobs |
| MySQL Jobs |
| Sap hr Jobs |
| Software Testing Jobs |
| Html Jobs |
| Job Location | Bristol |
| Education | Not Mentioned |
| Salary | £45,000 - £55,000 per annum |
| Industry | Not Mentioned |
| Functional Area | Not Mentioned |
| Job Type | Permanent , full-time |
Fantastic opportunity to join a leading wealth client in a field based compliance manager/partner.The main duties of the role are ensuring that correct compliance procedures within the group and applied, via the successful discharge of supervisory responsibilities. The identification and resolution of customer, regulatory, reputational, and operationalrisks are a key component in establishing an effective control function.With your own panel of firms, you will review AR bespoke characteristics and behaviours identified by risk assessment as requiring supervision.You will build strong relationships with AR Principals and work with them to help them achieve effective governance of their AR Firms & Advisers whilst adhering to Network standards. This will be achieved through a program of both diarised annual assessmentsand bespoke firm visits and interactions, with you acting as the main compliance contact for the firm.Working with the firm and other departments, you will identify areas of concern in a firm’s current processes, set action plans and agree timescales for these to be rectified. The role will also see you manage areas of risk to within Network appetite andidentify and investigate areas of risk through Supervisory activity as well as review and assess risk assessment results and risk analysis data to identify AR firm and adviser risk and apply appropriate controls.You will conduct bespoke inspection visits, complete reports, provide coaching and feedback, identify risks and escalate any identified failings through to the Supervisions & Oversight Manager, use the correct escalation channels and manage identified issuesto conclusion.This is a field and home-based role with an average of 2 days a week in the field of which you will be responsible for planning and scheduling your own firm visits.Our ideal candidate will be able to bring a high-level of experience within field supervision or compliance monitoring and be a competent assessor for firms and advisers.You will be a strong relationship builder and confident communicator, particularly skilled in questioning, and be able to display sound judgment when assessing risks and developing action plans. You will also have a strong analytical approach and inquisitivenature.You will have a proven track record of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent with a Compliance & Risk qualification is essential for this position.
Keyskills :
ComplianceCompliance MonitoringGovernanceCompliance Procedures