UK Distribution recruitment
Main Responsibilities would include:
• To provide advice on all relevant regulatory matters across all areas of UK Distribution and work closely with senior management on any compliance issues that may arise.
• To coordinate with the Head of Compliance – Infrastructure the process for identifying, interpreting, and reporting on regulatory change within UK Distribution, and communicate as appropriate.
• To the extent that the relate to UK Distribution matters, review local Compliance manuals to ensure they are up to date, reflecting current working practices and relevant regulatory requirements.
• To review UK Distribution procedures to ensure that they relevant regulatory requirements.
• To take responsibility for the drafting and execution of the Annual monitoring Plan for UK Distribution.
• To ensure that complaints, breaches, pricing errors and errors and omissions relevant to the Distribution area are appropriately identified, escalated and resolved.
• Take ownership of the Client take-on process for Distribution clients
• To identify, interpret, and report on legal regulatory change in respect of UK Distribution
• To the extent that they relate to Distribution, maintain local Compliance Policies and Procedures, guidance and relevant parts of Compliance Manuals to ensure they are up to date, reflecting current working practices and relevant legal regulatory requirements.
• To coordinate the development of education and training in respect of Distribution.
• To support the head of Compliance, Distribution in respect of thematic issues.
Essential Skills:
• Significant UK Distribution experience with particular focus on marketing, product development and communications
• Compliance Monitoring experience
• Staff Management
• Strong technical skills and knowledge in the financial promotions area
• Experience in buy-side Compliance
Robert Walters is a leading global recruitment consultancy, specialising in placing high calibre professionals into permanent, contract and temporary positions at all management levels.
If you would like to apply for this role or find out more, please apply online or contact Ben Temple-Mills at Robert Walters on 020 7509 8344 or ben.temple-mills@robertwalters.com quoting the reference BTC/1567450