Senior Compliance Advisor - Financial Planning
- Bracknell, England, United Kingdom
- Permanent, Full time
- Tilney Group
- 23 Apr 19
Are you a Senior Compliance adviser looking for a new challenge? Have experience in Financial Planning? Please read on! We’re are currently looking for a Senior Financial Planning Compliance Adviser to join our team either in Bracknell or London. In the role you will be act as the interface between Risk & Compliance and the Financial Planning teams. Working with the business you will provide support and advice on all matters relating to FCA Regulation.
You will be working in a collaborative environment, where the business and the Risk team work well together. You will be used to working in a regulated environment and the processes that come with it.
You are used to working autonomously as well as working with a team as you will at times work closely with the business area you support and not physically close to your Risk & Compliance team and vice versa, so communication and team player skills are also key.
What will you be doing?
Act as first point of contact for the financial planning business acting as ambassador to promote compliance awareness and good practice in compliance and T&C throughout Financial Planning.
- Assist the financial planning business to manage regulatory risk, including risk identification, assessment, mitigation and control
- Help implement group projects, working closely with different departments to ensure compliance with operating and compliance procedures
- 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
- Identifying any risks to Tilney with regard to areas of responsibility and recording these on the Tilney risk system in conjunction with the Risk Champion for your 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.
What you’ll need;
- Have the ability to communicate and influence and all levels
- Good understanding of FCA Regulations
- Experience delivering Training and presentation
- Qualifications: Degree holder preferable; CII level 4 qualified, CISI Compliance Diploma