Regulatory Risk Manager NR20047
Location: London / Weybridge
Application Deadline: 19 February 2021
We are seeking a diligent and self-motivated individual with a ‘can do’ attitude and exceptional attention to detail. You will play a critical role in protecting our clients by providing clear information about the rules and regulations issued by the FCA, ICO and other bodies to our partners.
The successful candidate will be qualified to a minimum of level 4 in financial advice and have excellent working knowledge of FCA rules, financial crime and data protection rules and regulations. You will have also worked in a similar financial advisory business and have a good understanding of pensions and investment products.
- To work as part of the management team in the Compliance and T&C team.
- To ensure that all material breaches are recorded and investigated.
- Ensure that Partners and staff are aware of and adhere to the anti-money laundering rules and requirements.
- Provide an annual money laundering report to the Board
- Maintain and review the data protection requirements and implement any changes.
- Investigate any data protection breaches.
- To have a good understanding of the workflow and be able to deliver and report against the various tasks as set out by the Head of Compliance
- Must be qualified to Level 4 in Financial Advice
- Proven track record with previous experience in a senior regulatory or compliance role either with a financial adviser firm, insurance company, regulator or other financial service organisation.
- A strong working knowledge of the FCA rules.
- A good understanding and experience of the rules relating to financial crime and bribery.
- Knowledge of data protection rules and regulations.
- A team player with excellent leadership, and organisational skills.
- Must be able to work on own initiative and within a team
What we offer you:
Foster Denovo has an open, mutually supportive, knowledge-sharing culture. It’s a culture that has created the space to think differently for the benefit of our clients.
- 25 days holiday (increasing by an additional day per annum up to 30 days)
- Matched contributory Group Personal Pension of up to 7.5%;
- Life assurance of up to 4 x your salary;
- Income protection;
- Employee Assistance Programme (EAP); plus
- Interest free season tickets loans, eye care and childcare vouchers.
- Shopping discounts benefits portal (discounts on holiday, gym and high street retailers)
Working for Foster Denovo
With over 75 Financial Advisers supported by around 170 employees in eight Foster Denovo offices throughout the UK. We have the scale and resource to provide exceptional advice and service to our clients, advisers and employees.
Delivering an outstanding client experience is our guiding value and underpins our entire approach to business. Our stakeholder community is an invisible bond that gives Foster Denovo its solid foundations. It also means that our people care about our reputation and brand. And as such, we aim to delight every client we come into contact with.