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Compliance Review Manager

  • Salary: Negotiable
  • Location: London
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    26 Oct 2017
  • Job reference: 29759

Exciting opportunity to work as part of a broader compliance team in a dynamic FS company. The main areas of responsibility are:
The delivery of an advice review function, assessing the adequacy of remedial action completed on file review.
Provide formal oversight, manage and maintain the relationship between the firm and its chosen outsourcer of file reviews.

Essential Experience Includes:

  • Level 4 Financial Services qualification
  • Good working knowledge of financial services advisory sales process gained from significant industry experience within, at least one diversified financial advisory company
  • Knowledge of FCA handbook and principles for business
  • Up to date with recent FCA and FOS precedents and standard industry practice
  • Strong knowledge of products, across investments, pensions, mortgages and protection
  • Strong understanding of suitability and TCF
  • Experience implementing and embedding improvements to practice

Attributes Includes:

  • Able to communicate with and forge strong relationships with, Advisers and Managers at all levels across the business, providing an excellent, pro-active level of service
  • Very strong decision-making skills
  • Ability to take ownership of the role with minimal supervision

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Our clients include: