COMPLIANCE MANAGER - BUSINESS RISK/WEALTH

London  ‐ Onsite
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Keywords

Description

compliance, risk, wealth, advisory, training, regulatory, RDR, retail distribution review, securities advice, packaged product, fsa registration, T&C

Compliance Manager/Business Risk Assurance Manager for a leading wealth manager. Resp for running training & competence to the Wealth Advisory team who advise on trust, tax and insurance products/services for individual & corporate financial planning. Ensuring training & competence is effective, setting sales standards, maintaining compliant sales procedures, writing procedures, record keeping, train staff on regulatory reqs/guidelines and prepare the business for any changes eg Retail Distribution Review (RDR), assess training needs of supervisors/sales staff, MI reporting, enforce failure policy, define sales standards, procedures & controls. You must have at least prof quals in securities advice/packaged product advice, wealth management product knowledge incl customer segmentation, personal financial planning, employee benefit products & sales/delivery platforms, understanding of UK regulatory framework, technical knowledge of FSA registration reqs and have strong relationship management skills.

The JM Group is acting as an employment agency with relation to this vacancy.

Start date
ASAP
Duration
10 WEEKS
From
JM Group
Published at
07.09.2012
Project ID:
417341
Contract type
Freelance
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