Senior Compliance Management Executive in Bromsgrove

The purpose of the Senior Compliance Management Executive is to support the Group Head of Risk in the on-going creation and maintenance of appropriate risk mitigation techniques.

Responsibilities

• To have oversight of the key regulatory reporting requirements and ensure accuracy and efficiency of submission.
• To review and report on key MI trends that have a direct impact upon the regulatory standing of the business.
• To act as a specialist referral point for all regulatory queries that may be put forward by all departments within the business.
• To partake unassisted in relevant strategic meetings from a risk perspective, offering advice, information and support as and when required to promote commercial development in a safe environment.
• To maintain positive relationships with all key contributors demonstrating a supportive rather than preventative stance.
• To ensure that all members of the Risk and wider A&R departments demonstrate high levels of communication and relationship management skills with the adviser force.
• To manage the RME and TRME functions as and when required.
• To develop and deliver an appropriate training programme for the Trainee Risk Management Executives, ensuring that competencies are achieved at projected milestones.
• To oversee the day-to-day running of the T&C Operations department.
• To participate and oversee where necessary in the compliance due diligence for potential acquisition firms, ensuring that deadlines set by the Acquisitions department are adhered to.
• To provide authorisation and challenge where necessary for all pending controlled functions.
• To oversee relevant variation of permission applications as and when they arise.
• To oversee the implementation of regulatory policy and procedural change where this has an impact upon the regulatory position of the firm.
• To assess relevant regulatory and legislative change and develop adequate project plans with the assistance of the Project Management Office where required.
• To oversee the implementation of external regulatory audits as and when they fall due.
• To provide sign-off to A&R Assurance for recommended breach actions.
• To oversee the prompt renewal of all firm regulatory licences and insurances.

Qualifications and Performance Expectations

• Achievement of all responsibilities within deadlines set.
• Measurement of the ability to operate within a self-driven and independent framework.
• Evidence of risk mitigation through internal and external audit.
• Understanding of key regulatory and industry focuses; understanding of FCA reporting systems.
• Demonstration of strategic input at senior management level.
• Operating within an independent framework.
• Understanding of regulatory rules and principles to a high level.
• Understanding of all processes and departments across the business.

Benefits and Perks

• Flexible working & holidays – Enjoy flexible working and competitive holiday allowance with annual buy-sell scheme options and a birthday off, plus additional holiday days for long service.
• Social perks – Recognise and celebrate employees’ great work with annual Christmas and summer parties.
• Pension – Contributory pension scheme with Royal London and a death-in-service benefit.
• Bonus scheme – Competitive salary and discretionary annual bonus after a year’s service.
• Health and wellbeing – MediCash app gives cashback on a wide range of health and wellbeing initiatives, including discounted health club memberships and free healthcare benefits.
• Professional development – Tailored learning and development programmes to help you reach your career goals.

Apply today to register your interest in joining our team, or learn more about the benefits and perks of working at AFH and what it is like to work here via our careers website.