Job Description

Job Purpose

Reporting to the Head of FP & Marketing Advisory, provide high quality compliance advice and training to the Financial Planning leadership team to support the delivery of (a) good client outcomes, (b) a compliant and risk aware culture and (c) the strategy.

Key Responsibilities

Advice

• Assist with the maintenance of an up-to-date compliance manual, documenting all relevant policies designed to address relevant regulatory risks.
• Provide compliance expertise and advice to the Financial Planning business unit on strategic decisions, propositional developments and material new business initiatives always ensuring an appropriate focus on good client outcomes.
• Provide advice to line management and business stakeholders on how regulatory change initiatives will impact on the business model and strategy for the Financial Planning business unit.
• Provide advice on T&C requirements and the Senior Manager & Certification Regime.
• Undertake special regulatory projects as directed by the Compliance Director or Head of IM, AM & General Advisory.
• Work collaboratively with other members of Advisory, including but not limited to the Head of IM, AM & General Advisory.

Training

• Lead the production of regulatory training materials.
• Provide compliance training to line management and business stakeholders on current or proposed regulations

Breaches and Incidents

• Identify, investigate, and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.

Management Reporting

• Provide forward looking and insightful updates on material regulatory issues for inclusion in management reporting.
• Represent Compliance at governance forums including but not limited to FPOC.

General

• Assist with other general Compliance tasks as may be reasonably requested, such as representing Compliance on ad-hoc project working groups.
• Assist with the co-ordination of regulatory visits, requests for information and drafting of P11 notifications.
• Assist with the production of the FCA quarterly briefing presentation.
• Collaborate with colleagues from across the 3 Lines of Defence to support the embedding of a client and risk focused culture across the Group.
• Propose improvements to the control environment to support the consistent delivery of good client outcomes.
• Lead the review of regulatory publications and interaction with trade bodies on specific topics.
• Deputise for the Head of FP & Marketing Advisory where required.
• Act as mentor to more junior members of the department.