Advice & Regulatory Risk Management Executive

40000.00 - 50000.00 GBP Annual
09 Nov 2016
06 Dec 2016
Contract Type
Full Time
Job Title: Advice & Regulatory Risk Management Executive

Location: Bromsgrove (excellent working office environment)

Salary of GBP40,000 - GBP50,000 pa dependent upon experience

Plus great company benefits!


* Our client company is a leading IFA and Discretionary Wealth Management firm, established in 1990 and is a public quoted company.

* They pride themselves on being a people based business and promote opportunities for career development within the company wherever possible.

* They are keen to recruit a Risk Management Executive to become part of their growing support team of over 220 who assist their group of 160 remote based IFA's.

* Your duties will include:

o To identify key risk exposures for the firm and contribute towards successful mitigation techniques to minimise the regulatory impact.

o You will oversee key risk functions to aid the firm in successful maintenance of its regulatory standing.

o Ensure that sufficient PI insurance is in place for the firm and to keep PI records maintained.

o Participate and oversee the compliance due diligence for potential acquisitions.

o Co-ordinate the regulatory reporting for the firm.

o Manage and delegate queries that have been received from other teams within the firm and act as the escalation point.

* You should also maintain Industry and Financial knowledge by keeping current with financial regulations and accepted practices.

* Key part of this role is being able to communicate effectively with other member's of your team and the IFA's to provide efficient support.

* The company continually look to develop their own staff with regular career development opportunities available on all levels, including progression from Trainee through to Senior level.

Criteria: Advice and Regulatory Risk Management Executive

* Level 4 Diploma in Financial Planning is preferable but not essential

* FCA Regulatory work experience

* High level of accuracy and attention to detail

Apply now or call David Fletcher on to further discuss this position.

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