Senior Compliance Manager
My client a leading Investment Manager based in Surrey requires a Senior Compliance Manager to join their growing business. An experienced retail Compliance professional is required to support the ongoing management and development of a specialist pensions and retirement income business and also to support the UK retirement team.
This investment manager require an individual who has a background in retail advisory compliance, including file review and audit work, and who has strong technical knowledge of retail pensions and retirement advice.
Your key responsibilities will include;
Provide advice and support in respect of regulatory requirements, rules and guidance and other statutory requirements, regulatory developments.
Providing compliance training as required
Preparing and submitting FCA returns as required and maintaining the FCA register.
Investigating and handling regulated complaints
Reviewing and approving retirement planning communications and financial promotion materials to ensure compliance, including engaging with the relevant marketing teams to agree sign-off, and maintaining appropriate records and audit trails
Working in conjunction with the AML, Legal and Risk functions to ensure regulatory compliance and manage risk
The role offers the successful candidate the opportunity to gain a managerial role within one of the companies most important business lines, there will be a lot of projects and compliance programs to work on and continued professional development
To find out more please call Stephen Borner at Hays on 02034650110.
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