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Compliance Business Risk Manager (T&C)


Compliance Business Risk Manager (T&C)


A leading Wealth Manager is seeking a Compliance Risk Manager to provide field based front line quality control incorporating reactive and proactive risk review. You be based in the London office covering mainly the West End, with limited travel to the Home Counties on occasion. They are looking for someone who is ready for a Senior role to provide leadership and day to day oversight of a team of 2, or someone who has the potential to grow into this role in the near future.
Reporting to the Area Business Risk Manager key responsibilities will include;
* Provides Risk oversight and consultancy for Area Manager Business Risk and Head of Business.
* Implements corporate policy regarding regulatory requirements (compliance procedures) to effectively identify and manage the key risks (and monitor the low risks) within the Business Unit.
* Supports in the monitoring and enhancement of quality of advice provided by acting on BAU feedback, to ensure that the business is meeting the FSA's TCF Outcome Four - where consumers receive advice, the advice is suitable and re?ects their needs, priorities and circumstances.
* Supports, coaches and develops the Partnership and others within the team to improve levels of risk awareness, ethics and quality commitment.
The Person
Ideally seeking a Diploma Level 4 qualified (or very close to) compliance professional with previous practical experience in regulatory Risk, Compliance, Training & Competency (T&C) or Sales Quality within Wealth Management/IFA or a similar business.
The Benefits
This is an exciting opportunity to become part of a well established business with an excellent reputation in the market place. The highly respected company not only offers the opportunity to operate within an existing successful team but also the prospect to further develop your career on a more independent and autonomous level.

Please quote CDP1606-81 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include employee benefits, compliance, legal, pensions, group risk, paraplanners, sales support, T&C etc. 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 for any other roles which may be of interest.

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