| Job Title: | Manager Risk & Compliance |
|---|---|
| Reference: | 292276-UKen |
| Salary: | £35000 - £75000 per annum + Depending on Experience |
| Location(s): | City of London |
| Industry(s): | Banking |
| Advertiser: | Robert Half |
| Employment Type: | Permanent |
| Posted: | 03-07-2008 |
Description:
The Role (Bristol)Opportunity for an experienced Compliance professional to become part of the business team developing a new business unit within a large International Firm.
A key part of this role will be to coordinate the set up and ongoing management of the risk and compliance function for a new Wrap and Wealth management business in Bristol.
PRINCIPLE ACCOUNT ABILITIES
Work Performed
Manage the preparation of permission variations and responses to regulatory requests for the new business
Be responsible for the implementation and ongoing monitoring of the risk management framework within the new business
Manage the identification and recording of business risk and recommend solutions
Help the business maintain appropriate systems and controls to satisfy our regulatory requirements and license obligations;
Provide regulatory guidance to the business on current and forthcoming regulatory and statutory requirements, providing input to product and operational design;
Monitor FSA obligations for training and ensure the business meets its obligations;
Investigate and monitor the resolution of any client complaints
Preferred Experience and skills:
Minimum of 5 years experience in either a Compliance or Legal team within a directly regulated financial services firm with responsibility for compliance oversight and handling regulated complaints in accordance with FSA rules and guidance.
A good understanding and working knowledge of the FSA handbook of rules and guidance and have the full Financial Planning Certificate or equivalent.
Additional compliance or technical qualifications including AFPC Pensions, Taxation and Trusts and Pensions Simplification would be beneficial.
Pro-active approach to solving and preventing problems.
Strong analytical ability, judgement and administrative skills.
Work under pressure (short deadlines) while remaining focused on completion of long term project or objectives.
Ability to work as part of the team to implement a new business
Robert Half Limited is acting as an employment business for temporary positions and an employment agency for permanent positions. Robert Half Limited will only consider candidates who have a legal right to work in the United Kingdom. Robert Half is committed to equality of opportunity for all candidates and suitable candidates with more experience to that stated are welcome to apply.
