Senior Compliance Manager

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Saunderson House Ltd
  • 19 Feb 18 2018-02-19

Compliance Oversight and day to day management of a critical element of the Saunderson House file review (‘SHL’) monitoring programme, to ensure Saunderson House can meet its statutory and regulatory requirements and adhere to industry good practices/standards in respect of compliance, risk and anti-money laundering prevention. You will provide ad-hoc advice to advisors as required especially with respect to pension transfers / switches.

Main Duties

Compliance Monitoring, Oversight and Deployment (Value – Outcome Driven)

  • Responsibility for the day to day management of the Saunderson House ‘file review’ monitoring programme
  • Interpret new and existing regulatory requirements, recommending amendments to the monitoring programme
  • Preparation / delivery of management reports for senior management on the Saunderson House file review monitoring program
  • Undertake one on one meetings with Advisors to provide feedback from reviews
  • Ad-hoc advice to advisors as required

Technical Compliance Advice and Monitoring (Value – Client Focused)

  • Knowledge of the regulatory landscape and best practices within wealth management and financial advisory firms
  • A strong understanding of FCA pension advice and transfer requirements
  • A wide knowledge of the risks and concerns commonly present in wealth and advisory firms 

Risk Management Framework (Value – Excellence)

  • Ensure the Saunderson House file review monitoring programme is aligned to the Saunderson House risk management framework

Stakeholder Relationship (Value – Collaborative People)

  • Maintain a strong working relationship with key stakeholders across Saunderson House and IFG (parent company), including Saunderson House Business Oversight Director, advisors, and IFG Compliance /Internal Audit

Team (Value – Collaborative People)

  • Work with compliance colleagues and advisors  to develop efficient and effective solutions to regulatory issues

Conduct (Value – Acting Responsibly)

  • To provide key management information reflective of the quality of advice given by the firm which will enable management to take appropriate action to improve client outcomes
  • To actively promote Saunderson House values and behaviours to ensure good client outcomes and meet our conduct responsibilities
  • To ensure technical knowledge is up to date and shared with the team as appropriate
  • To ensure work produced complies with the regulatory and legal environment

Person Specification

Knowledge and Qualifications

  • Minimum 5 years Compliance experience, preferably within Wealth Management
  • Professionally qualified (level 6 CII or equivalent including ‘Pension transfer qualifications) would be a plus
  • Strong / detailed knowledge of FCA Handbook, particularly COBS
  • Previous Compliance monitoring experience preferable
  • Previous Complaint handling experience preferable

Skills and Attributes

  • Have excellent relationship management skills
  • Highly organised
  • Ability to prioritise and complete work to deadlines
  • Ability to work in a small team and be an effective team player
  • Positive and enthusiastic attitude
  • Accurate and professional written style
  • Excellent communication at all levels of the business.

How to Apply

To apply, submit your CV and a covering letter by clicking the button below.

Saunderson House Limited is authorised and regulated by the Financial Conduct Authority and is an equal opportunities employer.