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Regulatory Developments Manager

Job Description

I’m working with a large wealth and investment management group who provide services to a range of clients. The group are looking to appoint a Regulatory Development Managers to form a crucial aspect within the first line of defence.

As the manager you would be responsible for identifying regulatory developments which could impact the various services within the group. The role will report directly to the Deputy Head of Compliance and would result in you taking an active role producing and delivering policy framework.

The successful candidate will need significant experience in compliance within either an IFA firm/network, DFM, asset management, life and Pensions with exposure to multiple areas beneficial.

Below are the key areas of knowledge and experience:

  • Previous experience in creating and implementing compliance polices or procedures.
  • Detailed knowledge of FCA rules.
  • Knowledge of areas such as PAD, gifts and hospitality and financial promotions.
  • Approved person knowledge and experience of applications crucial.
  • SMCR experience would be preferred.
  • The drive to ensure relevant processes are implemented and communicated throughout the business.

The role is particularly exciting due to the exposure across a wide range of projects, tasks and initiatives.

If you would like to discuss the role in further detail please contact me via jack.vaughan@thefourthline.co.uk or 0203 800 1565.