Regional Compliance Manager
Full Job Description
Job Summary Key Responsibilities:
- To be the Compliance lead in respect of a designated region of the advisory business.
- To provide ongoing compliance advice, support to, and monitoring of, Sales Managers and Advisers.
- To ensure compliance to both internal and FSA Regulatory requirements are met across the business.
Advice
To provide quality proactive and timely compliance advice to the business and its staff
Project and Service Initiatives
As a compliance specialist for the advisory businesses to provide input, guidance and support to projects and any new service initiatives that impact these areas of the business
Regulatory - Technical Support
Audit the maintenance, of Sales Management and Adviser TC records as required.
Identify any changes required to administrative and business process matters arising from Business policy decisions - initiatives and Regulatory requirements and liaise with the Business Quality Assurance Unit to ensure changes are implemented.
Administration and Reporting
Collate information for the resolution of development of skills and knowledge. Compile ad hoc reports as and when requested and required by the business.
Internal Customers
Responsible for monitoring of the Sales Management implementation and maintenance of the TC scheme, particularly in relation to KPI reviews, client meeting observations, development and action plans to agreed busin
- Time spent in role within Financial Services Industry
- Demonstrable experience of TC regime and implementation
- FPC or CFP equivalent
- Good working knowledge of FSA Principles and Rules
- Computer Literate including use of PowerPoint
Our client is a well known asset manager
Competitive basic + flexible benefits + discretionary bonus
Where specific UK qualifications are required we will take into account overseas equivalents.
Please quote Michael Page reference when applying Job ref:MPGX13247903
Michael Page International is a world leading recruitment consultancy.
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