We have an excellent opportunity to further build your compliance consultancy career. You will grow your knowledge and skills, learning from a highly skilled team, and will be given the opportunity and exposure to build your experience and career within the business:
Job Summary:
Resolution Compliance Limited is a regulated network and is authorised and regulated by the Financial Conduct Authority and is part of Thistle Initiatives Group of companies.
The Compliance & Supervision Manager will be responsible for delivering a range of compliance and supervision solutions to Appointed Representative firms through its regulated principal firm, Resolution Compliance. The individual will need to demonstrate independence of thought, a willingness to challenge where appropriate, be solution led, able to work collaboratively within a team, and be proactive.
Key Responsibilities:
• Advising senior business stakeholders on the firm’s regulatory obligations and how they should be met in respect of retail investment platforms along with the firms associated monitoring and reporting responsibilities
• Draft policies, procedures, and reports as required
• Produce internal and external reports on FCA policy
• Plan schedule and undertake supervisory visits of appointed representative firms
• Provide detailed audit reports and feedback to Senior Management
• Ensure required audit actions are tracked to completion
• Responsible for the implementation of any requirements of FCA rules and regulations relating to appointed representative firms
• Documenting and implementing any changes to the governance plan/activity in line with the FCA rules and regulations
• Provide ad hoc compliance advice
• Support the Financial Promotions approval process
• Support Ad Hoc projects
• Provide a technical helpdesk function to the firm
• Identify and recommend technical skills training where judged appropriate by you
• Willingness to qualify up to Advanced Diploma and Fellowship level
• Maintain an up-to-date knowledge and understanding of regulatory policies, including, Financial Crime Protection, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions, and Training and Competence
• This role is not limited to the above duties, due to the nature of the market you will need to be adaptable and open to change in this position
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