Risk Management Executive

Compliance Manager - Bromsgrove, West Midlands

Ref: 569Wednesday 22 June 2022

£35,000 - £45,000

Risk Management Executive

I am working with a national Wealth Management firm, looking to add to their risk team. You should have demonstratable experience within a similar role, within a fast-paced Financial Planning setting. 

Key Responsibilities as our Risk Management Executive will include:

  • To keep abreast of proposed regulatory change within the industry and to support in the formulation of relevant process and policy changes throughout the business, whilst minimising the impact to relevant stakeholders
  • Participation in the ongoing monitoring of regulated professionals through KPI data analysis and thematic reviews
  • Participation in regulatory reporting, contractual review, regulatory applications, capital adequacy monitoring and insurance arrangements
  • Participation in the timely authorisation of promotional content in line with the Firm’s Financial Promotions guidance 

The successful candidate should: 

  • Hold the Level 4 Diploma in Financial Planning 
  • Experience within a similar role 
  • Experience within the Financial Services’ compliance industry
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