SENIOR COMPLIANCE ADVISORY MANAGER – EXPERIENCE OF PENSIONS AND RETAIL INVESTMENTS REQUIRED | L[...]

Compliance Recruitment Solutions; London; Hybrid; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Advisory Manager to enhance their compliance team. This pivotal role involves reviewing operational procedures, advising on regulatory matters, and delivering training on compliance topics. With a focus on Pensions and Retail Investments, the ideal candidate will possess a strong understanding of regulatory frameworks, including Consumer Duty. The position offers a flexible working arrangement, allowing you to work from home three days a week while collaborating with a dynamic team in the heart of London. This is a fantastic opportunity to make a significant impact in a thriving company dedicated to compliance excellence.

Qualifications

• Solid compliance experience advising on policies & procedures.
• Excellent knowledge of COBS and Consumer Duty requirements.

Responsibilities

• Review and suggest amendments to operational standard procedures.
• Advise on regulatory interpretation and assist with breaches.

Skills

Compliance Advisory

Pensions Knowledge

Retail Investments Knowledge

Regulatory Interpretation

Consumer Duty Awareness

Training Delivery

Education

Relevant Compliance Qualification

Job description

Senior Compliance Advisory Manager – Experience of Pensions and Retail Investments Required

Ref: 4113D

Our client, a leading Investments & Pensions company, is seeking to recruit a Compliance Advisory Manager to join their expanding team. Duties include:

1. Review operational standard procedures and suggest amendments and/or enhanced controls where needed.
2. Assist in implementing any changes to SOPs required.
3. Advise the business on regulatory interpretation on a day-to-day basis, including Consumer Duty.
4. Advise on breaches and complaints.
5. Help deliver training on all above topics.
6. Assist with FCA VoPs when required.

You should have solid compliance experience advising on policies & procedures as well as day-to-day issues covering Pensions and/or Retail Investments, with an excellent knowledge of COBS as they apply and a good awareness of Consumer Duty requirements. The role is 3 days per week working from home and 2 days in the client's easily accessible City of London office.

If this sounds like you, please send your details to our MD, David Symes FCA, at [e-mail] (including a contact number & email). Please note we cannot reply to all applications; only successful candidates will be contacted. Your details will not be shared without your permission.

Compliance Recruitment Solutions Limited (CRS) acts as an employment agency for this role. All applicants must be legally entitled to work in the UK. By applying, candidates accept the above conditions and confirm that their information is accurate.

We are ethical, expert, and professional recruiters, founded by former Compliance Officers, specializing in AML & Financial Crime (including Anti Bribery & Corruption).

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