Compliance Manager - Advisory - Investment Management
- To provide a proactive and technical service to the business on the interpretation and guidance of the FCA's rules (and any other relevant regulatory or legal issues that may apply);
- To provide impact assessment and gap analysis for any new FCA initiatives;
- Contribute to and take the lead in regulatory change and business change projects as required;
- 'Local' Consumer Duty and Product Governance Champion/SME for Compliance and Compliance lead for Vulnerable Customers;
- Compliance lead for SMCR and TC;
- Maintenance and improvement of Compliance policies in line with best practice and engagement with the business to ensure the embedding of said policies;
- Coordinate and deliver Compliance training, including induction training.
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