Compliance Advisory Manager
We are looking for an experienced and qualified compliance professional to supplement the existing team, and to support and assist the business unit in fulfilling regulatory compliance obligations. The candidate should have demonstrable experience in providing compliance support for the sale of OTC financial products to clients, including Mid-Market, SME and retail client clients.
Key skills and responsibilities;
- Provide day-to-day BAU advisory support and assistance, including reviewing new products and initiatives
- Hands-on, proactive and timely advice on regulatory rules/requirements to business lines and stakeholders.
- Proactive engagement with key business and desk heads to establish an effective working relationship and understanding of the business.
- Reviewing and evaluating regulatory developments and engaging business unit feedback.
- Seek internal or external input and assistance as necessary
- Devise, update or amended policies, procedures and processes in accordance with new regulatory requirements
- Provide day-to-day BAU advisory support and assistance, including reviewing new products and initiatives
- Hands-on, proactive and timely advice on regulatory rules/requirements to business lines and stakeholders.
- Proactive engagement with key business and desk heads to establish an effective working relationship and understanding of the business.
- Reviewing and evaluating regulatory developments and engaging business unit feedback.
- Seek internal or external input and assistance as necessary
- Devise, update or amended policies, procedures and processes in accordance with new regulatory requirements
For more information or to apply for this role, please contact Tom at tom.harvey@jcwresourcing.com or call on 02035899293.
Please note that JCW Search is operating as an employment agency for the purposes of this vacancy.
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