Clear all search filters

THE COMPANY:

Our client is a leading Wealth Manager/IFA. They offer a wide range of services including Retirement Planning, Investments and Tax Planning. They currently have in excess of £20 billion under management

THE RESPONSIBILITIES:

• To work with the Policy & Guidance team to ensure the team achieves its business objectives and that adequate support is provided to the business in relation to regulatory matters.
• To support the formulation of regulatory policy across all UK companies and to liase with Senior Management and bodies such as the Regulatory Risk Committee to determine how best to implement policy.
• To support the review the outputs from FSA, for example Consultative Papers, determining implications for the business and liaise with business units to determine the most appropriate course of action.
• Ensuring an appropriate degree of compliance/regulatory input by the team into key projects and developments. This will include, but is not limited to, new products, markets and sales initiatives.
• To identify and support key regulatory developments at both an FSA and EU level; for example MiFID.
• To consider the implications for our clients of regulatory changes, new product and service launches and conduct of business guidance to help ensure they are treated fairly by the company

EXPERIENCE REQUIRED:

• Strong technical compliance knowledge gained within an IFA, Pension or Life provider
• FPC qualification
• Supervisory experience would be a benefit.

Job presented by