Compliance Advisory Manager

The successful candidate will report to the 'Head of Compliance' and will help to structure a high-performing Advisory function, by providing timely and accurate compliance advice and guidance to a full range of business areas, including front office.

Responsibilities:

• Provide compliance advice & guidance in relation to regulatory requirements.
• Create and maintain policies and procedures in line with regulatory changes.
• Maintain strong compliance culture across the business, dealing with a range of business areas including; Risk, Legal, Business Change, HR,

• Handle client complaints for the firm, ensuring adherence to the documented Complaints Handling framework.
• Analyse the root causes of complaints and identify recurrent themes.
• Act as point of Liaison with the Financial Ombudsman Service (FOS), on all requested information for complaints. Contribute to production of MI for senior management and board.
• Provide Advice to other areas of complaince cush as Monitoring, Reg Developments, and Fin Crime.

Experience required:

• 5+ years UK Wealth Management, Private Banking, or Investment Management experience.
• Excellent knowledge of FCA Handbook and UK Regulatory requirements.
• Strong working knowledge of UK regulations including COBS, TC, COCON, SYSC, SUP, PROD, DTR, Consumer Duty and Conduct Risk.
• Experience with COLL Funds & Platforms ideal.
• Industry qualifications, such as; CISI Investment Compliance desirable.