Senior Compliance
Key Responsibilities
- Principally responsible for the receipt and initial assessment of all applications for approved persons.
- The newly created team will also have responsibility for the processing of other approved persons and appointed representative notifications (e.g. withdrawal notifications).
- Influence and then entrench the new Approved Persons/Registrations programme, with a view of increasing the emphasis on individual accountabilities;
- Responsibility for owning and managing the Approved Persons processes from end-to-end, liaising with relevant Compliance / Business representatives
- Constructively challenge other individuals/functions on sensitive issues around fitness and properness, which includes competence.
- Provide first class relationship management and networking skills.
- Take hands on ownership of budget to deliver quality to deadlines/SLA’s etc.
- Function wide Manager responsibilities
Required Experience
- Excellent understanding of the FCA Approved Persons Regime.
- A proven ability to manage effectively whilst maintaining constructive dialogue with key stakeholders / team to resolve issues or challenges
- A proven track record in managing large teams dealing with volume processes, with the ability to implement new technological solutions and drive change.
This is a unique opportunity and will suit someone with a TC (Training Competence) and or Compliance background who is looking to develop their career.
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