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(Hybrid 1-2 days WFH)
Our client a market leading Financial Services firm seeking an ambitious and experienced Appointed Representative - Compliance Oversight Manager to join their team. As the Compliance Oversight Manager, you will be responsible for ensuring that the Appointed Representatives of the Group companies are compliant with regulatory requirements and consistently providing good customer outcomes.
Key Responsibilities
- Own the end-to-end due diligence process for new Appointed Representatives
- Support the submission of AR notifications and associated Approved Person applications to the FCA
- Undertake monthly reviews of complaints, online reviews, customer feedback and broader customer outcome MI to gain assurance (or otherwise) that all ARs are meeting the expectations under the Consumer Duty
- Oversee training completion MI to ensure that AR colleagues/people are effectively trained to introduce products and identify regulated complaints
- Produce AR oversight packs for governance to ensure that any emerging risks in respect of the AR network’s compliance (including from regulatory, conduct or resource perspectives)
Qualifications
- Extensive knowledge of the FCA’s rules and handbook, including specific expertise in the Appointed Representatives Regime, SUP 12 and CONC
- Previous experience in risk/compliance roles within a mature financial services institution
- Extensive experience in senior stakeholder management and relationship building
If you are a Compliance Manager with experience in AR oversight and management, this role is perfect for you. Apply now and be a part of this company's significant growth!
