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Financial Planning Compliance Manager

BBBH2199_1536752294
£400 - £500 per day


ROLE: Financial Planning Compliance Manager
SECTOR: Wealth Management
RATE: Market Rate
LOCATION: London

Key Responsibilities

    • Act as first point of contact for the financial planning business acting, promoting compliance awareness and good practice in compliance and T&C throughout Financial Planning.
    • Provide advice and assistance as requested, providing compliant, pragmatic solutions
    • Assist the financial planning business to manage regulatory risk, including risk identification, assessment, mitigation and control
    • Produce accurate and timely monthly reports regarding activity and issues
    • Help implement group projects, working closely with different departments to ensure compliance with operating and compliance procedures
    • Attend and support relevant financial planning management meetings
    • Work with team members to ensure all issues identified through monitoring, complaints and changes to regulations are appropriately addressed, providing or assisting in delivery of training as necessary
    • In conjunction with other team members, work with the central Sales, Strategy & Operations team on all financial planning standards, fact finds, suitability reports etc.
    • Support the Compliance monitoring team and your colleagues, including the wider Risk & Compliance team
    • Keep a watching brief on T&C from a SYSC 6 oversight perspective




From a risk management perspective as an adviser within Tilney you are responsible for:

    • Identifying any risks to the firm with regard to areas of responsibility and recording these on the risk system in conjunction with the Risk Champion for business area.
    • Ensuring that any risks are effectively evaluated, managed and mitigated.
    • Ensuring that risk controls are designed to be effective and that any control breakdowns are reported to the business areas Risk Champion.




Skills And Qualifications

  • Excellent written and verbal communication skills including the ability to influence at all levels with good judgement and decision making skills; the ability to work with a good degree of autonomy, individually, and as part of a team; ability to deliver training and presentations; strong analytical and numerical skills
  • Competent using Microsoft packages such as Word, Excel and Outlook; excellent knowledge of FCA Rules in particular SYSC & COBS with ability to understand new regulation as it arises; strong experience in a compliance role within an asset/wealth manager
  • Qualifications: Degree holder preferable; CII level 4 qualified, CISI Compliance Diploma

This job has now been filled but you may be interested in:

 

CASS Reconciliations analyst

FourthLine is currently working on an exciting CASS opportunity within a leading Asset Manager based in the City of London. The client is undergoing a large change project, where they are building their CASS oversight function and require a contractor to aid the team and CASS reconciliations activity.

This role will play an important part in:


* Managing Outsource relationships in relation to CASS reconciliations
* Investigation of breaks for both cash and assets and progress open items to closure
* Providing regular CASS reconciliation oversight, highlight insight on trends and provide feedback to senior CASS team members

You should apply if you:


* If you have prior CASS reconciliation experience, both under CASS 6 and 7 (ESSENTIAL)
* Experience working in a CASS firm where they use third party providers
* Have an eye for detail in relation to CASS breaks and potential breaches.
* Possess excellent relationship building skills and want to be part of an exciting CASS project
If you are interested and feel that you match the desired skills/experience, please e-mail me your latest CV and I will be in touch.

Operations Risk Analyst


FourthLine is working with a leading Asset Manager based in the City of London who are looking for a Risk Analyst on an initial 6-month contract.

Day Rate: up to £275 | London | Min 6 months


Responsibilities include:

  • Monitoring and following up on accuracy and integrity of data being received from outsourced provider.
  • Recommend changes to controls or creation of new procedures to ensure service levels and regulations are adhered to.
  • Manage day to day risk events, incidents and breach reporting between outsourced provider and the client.
  • Provide weekly, monthly and quarterly status updates of Management Information.

You should apply if:

  • 3 years' industry experience within risk, must be financial services
  • Familiarity with risk management concepts and internal control operations
  • Breach/Incident reporting experience essential
  • Excellent relationship management, time management and organisational skills, with the ability to work both independently and within a team
  • Undergraduate degree or equivalent experience is preferred

CASS project support administrator

FourthLine is currently working on an exciting CASS opportunity within a leading Asset Manager based in the City of London. The client is undergoing a large change project, where they are building their CASS oversight function and require a contractor work like to aid the project manager and Project SME. The successful candidate will be responsible for accurate minute and action taking for all aspects of the change programme, as well as participating in solution design workshops.

The successful candidate will have the following skills and experience:

  • Previous knowledge or experience of CASS, ideally within a Buy-side firm
  • Familiarity with risk management concepts and internal control operations
  • Prior experience in a support role, comfortable tracking projects, via meetings, workshops updating documents/systems
  • Excellent relationship management, time management and organisational skills, with the ability to work both independently and within a team
  • Undergraduate degree or equivalent experience is preferred

The contract will initially be 6 months paying £180 per day.
If you think it may benefit someone in your network please feel free to pass on my details.
If you are interested and feel that you match the desired skills/experience, please e-mail me your latest CV and I will be in touch.

MINIMUM Salary

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