Alexander Lloyd are currently Recruiting for a Compliance Technical position within a Wealth Management Business in Sussex, this role is mainly focusing on Regulatory Developments which impact the business.
* Minimum of Level 4 Diploma in Financial Planning (DipFS / DipFA)
* Keep up to date with regulatory and industry developments * Provide evaluation reports to the compliance director * Formulate gap analyses and action plans * Undertake project work * Assist with documenting new procedures and policies * Liaise effectively with senior management in respect of regulatory and network issues * Assist the compliance director in providing a timely response to requests for information from the FCA * Assist in making all appropriate notifications to the FCA
Compliance Technical Responsibilities:
* Apply a risk-based and common-sense approach to the compliance technical process * Undertake appropriate reviews of the FCA outputs, ensuring that the findings are accurately recorded and handles appropriately so as to mitigate associated risks. * Produce analysis of internal procedural gap and make suggestions of actions needed. * Review european legislation and directives and produce interpretations * Review FCA / FOC notices * Provide technical support to appointed representatives and staff * Undertake internal reviews of process sufficiently and provide findings to the Compliance Director * Provide support to other areas of the Compliance Department
Experience: Compliance Experience within Investments or Insurance and an in-depth understanding of the FCA/PRA regulatory requirements.
The ideal candidate will come with the Level 4 Diploma Qualification in Regulated Financial Planning, or progressing towards.
Please quote (42803) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.