Senior Compliance Adviser - Financial Planning

  • Location:

    London, England

  • Sector:

    Accountancy & Finance , Financial Services

  • Job type:

    Full Time

  • Salary:

    Up to £65000.00 per annum

  • Contact:

    Neil Drew

  • Contact email:

  • Job ref:


  • Published:

    3 months ago

  • Expiry date:


  • Startdate:

    06/03/2019 10:50:02

A well regarded Wealth Management company with a National presence are looking for a Senior Financial Planning Compliance adviser to work from their office in central London.

They would welcome applications from experienced T&C managers with a strong background in Financial Planning.

The main remit for the role is to act as the primary interface between Risk & Compliance and the Financial Planning firms, overseeing their compliance arrangements, providing advice and support on all matters relating to FCA regulation and interpretation, whilst working closely with other members of the Risk & Compliance team to ensure consistency of advice and support across the Group.

Key Responsibilities:

* Act as first point of contact for the financial planning business acting as ambassador to promote compliance awareness and good practice in compliance and T&C throughout Financial Planning.
* Provide advice and assistance as requested, providing compliant, pragmatic solutions
* Assist the financial planning business to manage regulatory risk, including risk identification, assessment, mitigation and control
* Produce accurate and timely monthly reports regarding activity and issues to the Head of Financial Planning Compliance
* Help implement group projects, working closely with different departments to ensure compliance with operating and compliance procedures
* Attend and support relevant financial planning management meetings
* Work with team members to ensure all issues identified through monitoring, complaints and changes to regulations are appropriately addressed, providing or assisting in delivery of training as necessary
* In conjunction with other team members, work with the central Sales, Strategy & Operations team on all financial planning standards, fact finds, suitability reports etc.
* Support the Compliance monitoring team and your colleagues, including the wider Risk & Compliance team
* Keep a watching brief on T&C from a SYSC 6 oversight perspective

From a risk management perspective as an adviser within the group you are responsible for:
* Identifying any risks with regard to your areas of responsibility and recording these on the risk system in conjunction with the Risk Champion for your business area.
* Ensuring that any risks are effectively evaluated, managed and mitigated.
* Ensuring that risk controls are designed to be effective and that any control breakdowns are reported to the business areas Risk Champion.

Skills and Qualifications:

* Excellent written and verbal communication skills including the ability to influence at all levels with good judgement and decision making skills; the ability to work with a good degree of autonomy, individually, and as part of a team; ability to deliver training and presentations; strong analytical and numerical skills
* Competent using Microsoft packages such as Word, Excel and Outlook; excellent knowledge of FCA Rules in particular SYSC & COBS with ability to understand new regulation as it arises; strong experience in a compliance role within an asset/wealth manager
* Qualifications: Degree holder preferable; CII level 4 qualified, CISI Compliance Diploma

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.