• Monday - Friday
• 35hrs per week - Flexible start times between 8am - 10am
• 1hr for lunch
• Full-time office working
• The role can be based in one of the following locations; Witney, Norwich or Newcastle-Under-Lyme

Role Responsibilities:

• Support the Compliance Officer in maintaining and embedding the risk and compliance framework, including policies, registers, controls, monitoring plans and reporting routines.
• Act as a practical risk and compliance partner, providing advice, constructive challenge and support on regulatory, conduct, operational and client outcome risks.
• Support compliance monitoring activity, including advice processes, client communications, financial promotions, complaints and record keeping.
• Support business change, new propositions, supplier arrangements and operational improvements by helping teams assess risks, controls, regulatory impacts and client outcome considerations.
• Maintain and support risk registers, using issue logs, breach and incident records, action trackers and control assurance activity, ensuring matters are escalated and followed through to completion.
• Assist with the investigation of incidents, breaches, errors, complaints trends and control weaknesses, identifying root causes, lessons learned and appropriate remedial actions.
• Support regulatory reporting, notifications and information requests, helping to ensure submissions are accurate, timely and appropriately evidenced.
• Prepare MI for management, committees and relevant governance forums, highlighting trends, issues, actions and areas requiring decision or escalation.
• Support oversight of key outsourced and third-party arrangements, including due diligence, ongoing monitoring, service issues and risk assessments.
• Contribute to business continuity, operational resilience and disaster recovery arrangements.
• Promote awareness of regulatory obligations and good risk management through training support, guidance, communications and day-to-day engagement with colleagues.

Experience:

• Experience in a risk, compliance, audit, governance or assurance role within an FCA-regulated financial services firm, ideally within wealth management, financial planning, investment management or advice.
• Good working knowledge of FCA requirements relevant to wealth management, including conduct risk, Consumer Duty, suitability, complaints, financial promotions, SM&CR and regulatory reporting.
• Understanding of risk management frameworks, including risk identification, assessment, mitigation, monitoring, reporting, escalation and control testing.
• Ability to review information critically, identify trends or issues, document findings clearly and recommend practical actions.
• Prior user experience of dedicated GRC systems and / or with Power BI reporting tools; previous experience of Intelliflo Office an advantage.
• Strong stakeholder management skills, with confidence to engage, influence, support and constructively challenge across the business.
• Good written communication skills, with the ability to produce clear reports, meeting papers, monitoring findings and action updates for senior management.
• High level of integrity, discretion and professionalism when handling confidential, client, colleague and regulatory information.

Qualifications:

• Relevant professional qualification, or willingness to work towards one, such as ICA, CISI, CII, risk management or compliance-related qualifications.

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