EXCLUSIVE: SENIOR COMPLIANCE ADVISORY MANAGER
ADVISORY EXPERIENCE FROM INVESTMENTS OR SIPPS (INC CASS) REQUIRED
£110K+£120K+Benefits & Bonus
Hybrid (Central London)
Our client, a leading Investments & Pensions company, is seeking to recruit a Senior Compliance Advisory Manager. Duties include;
- Help set all guidance & policies beyond just regulatory needs
- Advise on proposed operational SOP pre-implementation and suggest amendments and/or enhanced controls where needed
- Ensure awareness of all regulatory changes that may affect the business, analyse to effects and possible changes in operations, and ensure dissemination to management as early as possible
- Where necessary during the consultation phase engage with regulators and/or industry colleagues to ensure practical considerations are taken into account
- Assist in implementing any changes to SOPs required
- Likewise, engage with the regulator when business plans or regulatory permissions change
- Advise the business on regulatory interpretation as required on a day-to-day basis
You should have previous experience of advising on Policies and SOPs covering Investments or SIPPs (and be willing to pick up the other area quickly if not covered both) and solid experience and knowledge of CASS
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at firstname.lastname@example.org (including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.