Back to search
The Senior Compliance Advisory Manager is responsible for ensuring that the company complies with all relevant laws, regulations, and internal policies. They will provide guidance and support to the business units to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks.
Some Responsibilities
- Provide guidance and support to business units on compliance matters, including reviewing and approving new products, services, marketing materials and remuneration
- Support the SMCR Regime by closely working with HR and submit FCA Connect forms and Directory Persons as required
- Conduct compliance themed advisory reviews based on risk assessments and develop strategies to mitigate identified risks
- Maintain Regulatory development log and provide business impact assessments and regulatory updates in a timely manner.
- Support the ongoing regulatory and change programs by acting as the FCA compliance expert
Experience Required
- Experience of working in a 2nd line compliance role, from a Wealth & Investments background
- Excellent analytical and problem-solving skills, with the ability to identify and mitigate compliance risks.
- Strong communication and interpersonal skills, with the ability to effectively communicate complex compliance issues to non-compliance professionals
- Ability to draft Compliance Oversight reports and other management reports to support the Compliance Oversight Officer.
- Ability to create and deliver specific compliance training on a face to face basis for employees to enable compliance to be embedded in the business.
- Ability to maintain the FCA Reg Data and FCA Connect requirements for the firms reporting, notifications and SMCR requirements.
