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Regional Compliance Manager

Job description

Idex are working exclusively with this top-tier National Wealth Management brand, a household name in the search for a Regional Compliance Manager, you'll pro-actively provide regular supervision, coaching and other regulatory support to our front line team of advisers to maximise their immediate performance, development and conduct. You will be a subject matter expert and provide proactive support and constructive challenge to local teams, additionally you will support the business by way of input into national change initiatives ensuring we give more advice to more people.

Key responsibilities

  • Undertaking the first line supervision of personal wealth advisers you'll actively own the key performance indicators aiming to ensure all client outcomes are fair
  • Identifying when advisers require additional support and development, you'll implement appropriate solutions which meet both national and local requirements
  • Working closely with the Senior Management team to ensure the effective communication and implementation of development initiatives ensuring all advisers are fully briefed, adequately trained and receive appropriate level of ongoing support
  • Personally act as an advocate and champion in the use of new technology and processes to ensure that efficiency's and agility potential is captured
  • View Job Posting Details 10:10 06/10/2021 Page 1 of 3 Acting as a point of reference responding to a wide range of complex issues and ensuring satisfactory resolution for all parties. Ensure that regulatory, compliance and operational risk requirements are kept up to date and accurate and complete records held achieving appropriate ratings for any internal or external Audit inspection
  • As and when required undertake projects and/or provide project support to other areas of the business. Acting as a development SME to ensure that the skills and knowledge of individuals are maximised and there is minimum disruption from the changes

What you'll need…

  • Qualified to Level 4 (Diploma in Regulated Financial Planning)
  • Supervisory experience in a regulated environment or background
  • Coaching and development skills to help drive KPI's
  • Ability to provide constructive feedback
  • Meticulous attention to detail department leading an innovation and simplification agenda

What you will receive

  • A market leading defined contribution pension scheme
  • An additional 4% of your annual salary in a flexible benefits package that you can select and pay for conveniently via a salary deduction or take as cash
  • Uncapped bonus
  • 25 days holiday allowance plus bank holidays
  • Competitive salary

Join us
Does this sound like a role that you'd like to know more about? Do you enjoy helping create a dynamic culture focused on client service? And you'd thrive in a culture that is values and client led - come and talk to us.

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