Compliance Partners - Wealth Management - Leicester, Leicestershire, United Kingdom, LE1
3 Compliance Partners are required by a leading provider of wealth management and employee benefits to join their team in Leicester.
Your main responsibilities will include:
- Supporting and advising the group on regulatory matters (FCA CONC, SYSC, PRIN, DISP, COBS)
- Advising the group and your workmates on the practical application of regulatory rules, guidance and principles
- Investigating and reporting on the regulatory impact and compliance risks and recommending solutions
- Second line monitoring/reviews of policies, processes and products
- Reviewing policies, systems, processes and effectiveness of our systems and controls
- Being the compliance lead on group projects - ensuring compliance whilst identifying opportunities of improvement
- Providing training and building compliance competency and understanding throughout the group
- Maintaining a suite of compliance policies, procedures and documents to a high standard
- Becoming a subject matter expert in key compliance areas such as GDPR, AML, MiFID II, IDD and product governance
- Being a compliance champion - driving a strong culture of compliance & regulatory principles such as Treating Customers Fairly
You will have previous experience within a financial services compliance role and current working knowledge of financial services regulations. Any previous experience of wealth management, asset management, employee benefits or data protection / GDPR compliance would be advantageous but is not essential. A financial advice qualification (e.g. Level 4 Diploma) or appropriate compliance qualification would also be of interest. Excellent communication, analytical and organisational skills are essential.