Regional Compliance Officer
Our client, an established Wealth Management Practice, is looking for a compliance officer to join their Compliance and Technical Support team.
As an established firm, their compliance support requirements have been increasing and as such there is now a need for a pensions specialist Compliance Manager
The objectives of Regional Compliance Manager as follows:
Assist in the design, implementation and periodic review of Compliance procedures
Contributing to the production and implementation of the Compliance Plan and Compliance Monitoring Programme in a timely manner
Contribute to the risk assessment process by assisting in assessing, prioritising and documenting the major risks impacting on (including but not restricted to conduct risk, TCF, industry, operational, financial and regulatory risks) on a quarterly basis
Candidates must have experience of working in a compliance role – Relevant qualifications to include R04, J05, AF3 or equivalent is essential
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