Senior Compliance Advisory Manager Location: Bath (Hybrid - 1 days a week in the office) Salary: Up to £100,000 Benefits: Bonus, 34 days holiday, 7% pension, life assurance, private medical, professional development opportunities Are you an experienced compliance professional looking to take the next step in your career?
Our client, a prominent player in wealth management, is seeking a Senior Compliance Advisory Manager to join their dynamic team.
In this full-time position, you will ensure the Group adheres to all relevant laws, regulations, and internal policies, including Consumer Duty, SM&CR, CASS, and ESG considerations.
You'll provide vital guidance and support to various business units, helping them navigate compliance matters while identifying and mitigating potential risks.
Key Responsibilities: Maintain a regulatory development log, delivering timely business impact assessments and updates related to Consumer Duty, SM&CR, CASS, and ESG.
Offer compliance guidance on new products, services, marketing materials, and remuneration.
Conduct compliance-themed advisory reviews based on risk assessments, particularly focusing on Consumer Duty and ESG risks, and develop effective risk mitigation strategies.
Design and implement compliance training programs to educate employees on relevant laws and regulations, with an emphasis on embedding Consumer Duty and ESG principles.
About You: To excel in this role, you should possess the following qualifications and skills: Proven experience in financial services within a 2nd line back-office compliance role.
Solid understanding of the FCA Handbook, including Consumer Duty, SM&CR, CASS, and ESG regulations.
Proficient in drafting Compliance Oversight reports and other management documentation.
Strong communication skills to deliver face-to-face compliance training effectively.
Ability to manage FCA Reg Data and FCA Connect reporting and notifications.
If you're ready to advance your career and make a meaningful impact in the world of compliance, we encourage you to apply for this exciting opportunity.
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