Financial Planning Compliance Manager

£400 - £500 per day

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

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


£ k