Client Advisory Manager - Regulatory Compliance
Client Advisory Manager - Regulatory Compliance
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Job Description
Responsibilities (how we will measure success)
The main purpose of the role is to work with the Client Advisory Team and the SMF 16 managing the implementation of regulatory change initiatives. Since the Client Advisory Team have a large portfolio of Appointed Representatives (ARs) to work with on a daily basis support is required to deliver enhancement projects and strategically important change initiatives to ensure we are meeting regulatory expectations. In particular:
- Delivering projects as directed by the Head of Client Advisory and SMF 16. Examples might include:
- Implementation of recommendations raised by the Principal Compliance Teams reviews
- Supporting the annual AR ongoing suitability review process
- Rolling out enhancements to programmes such as the AR conflicts of interest assessments
- Client categorisation assessments and reviews of client contracts
- Review and strengthening our internal approval assessment process for ARs
- Providing guidance on the implementation of change to other teams as well as QA-ing the outcome of such change
- Supporting the Client Advisory team on client issues where appropriate
- Acting as technical SME ensuring that changing FCA requirements are built into our ARs processes
- Identifying issues and supporting the business and ARs to resolve them; escalating issues where appropriate
- Adhering to all company policies and procedures
Qualifications :
Key competencies
- Gains trust and respect through demonstrating technical expertise
- Change agent able to effectively manage change
- Establishes and maintains effective relationships with a wide variety of internal and external stakeholders
- Delivery focus to get projects completed on time and to the required standard
- Understands the needs of clients and demonstrates a service mentality
- Resolves issues in a collegiate manner ensuring the outcome meets the needs of the business and the client
- 7 years industry experience
Key behaviours we expect to see
In addition to demonstrating our Group Values (Authentic Bold and Collaborative) the role holder will be expected to demonstrate the following:
- Approachability
- Attention to detail
- Curiosity
- Organisation
- Proactivity
- Relationship building
- Resilience
- Team working
Additional Information :
OUR COMMITMENT TO YOU AND THE ENVIRONMENT
As a forward-looking business sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful long-term relationships with all our stakeholders including our employees clients and local communities while also reducing our impact on our natural environment.
There is always more we can and should do to improve whether in relation to our people our clients our planet or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. Were committed to fostering an inclusive equitable and diverse culture for our people led by our Diversity Equity and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees careers while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our employees - from 94 nationalities speaking 41 languages across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund in an environment where only 15% of all private equity and venture capital firms are gender balanced.
Were committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our clients sustainability and success leads to our sustainability and success. Were emotionally invested in our clients right from the beginning.
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
