Regulatory / Compliance Projects Manager - West Midlands
- Recruiter
- Anonymous
- Location
- West Midlands
- Salary
- Competitive
- Posted
- 21 Nov 2016
- Closes
- 05 Dec 2016
- Sectors
- Accountancy
- Contract Type
- Permanent
- Hours
- Full Time
Our Client is well known and operates within the Financial Services Industry. They are an integrated Independent Financial Advisory ('IFA') and Discretionary Wealth Management firm.
Overall:
Drive and oversee the planning and implementation of assigned projects within the business in order to mitigate perceived regulatory risks.
Responsibilities:
* Identify and evaluate key risks highlighted through external audits, FCA/industry communications and through individual notification and report as necessary
* Through risk identification, effect assigned projects, as prioritised by the business, in order to establish necessary changes, to systems, controls and processes
* Define the scope of the project/s in collaboration with relevant individuals within the business
* Manage and maintain a detailed and documented work plan, with projected timescales, resources and communication strategies
* Engage with necessary external auditors to ensure that changes effected are robust and mitigate perceived regulatory risks
Key Performance Measures
* Achievement of the individual project objectives within set timescales
* Evidence of risk mitigation through internal and external audit
* Understanding of key regulatory and industry focuses
Requirements
* Level 4 Diploma in Financial Planning (preferable but not essential)
* FCA Regulatory work experience
* Project Management Experience Required
* Excellent communication, organisation and prioritisation skills
* Self-motivation and ability to work both independently or collaboratively is essential
* Good I.T. skills
There is an Excellent Salary and Benefits Package Available with this Role
Overall:
Drive and oversee the planning and implementation of assigned projects within the business in order to mitigate perceived regulatory risks.
Responsibilities:
* Identify and evaluate key risks highlighted through external audits, FCA/industry communications and through individual notification and report as necessary
* Through risk identification, effect assigned projects, as prioritised by the business, in order to establish necessary changes, to systems, controls and processes
* Define the scope of the project/s in collaboration with relevant individuals within the business
* Manage and maintain a detailed and documented work plan, with projected timescales, resources and communication strategies
* Engage with necessary external auditors to ensure that changes effected are robust and mitigate perceived regulatory risks
Key Performance Measures
* Achievement of the individual project objectives within set timescales
* Evidence of risk mitigation through internal and external audit
* Understanding of key regulatory and industry focuses
Requirements
* Level 4 Diploma in Financial Planning (preferable but not essential)
* FCA Regulatory work experience
* Project Management Experience Required
* Excellent communication, organisation and prioritisation skills
* Self-motivation and ability to work both independently or collaboratively is essential
* Good I.T. skills
There is an Excellent Salary and Benefits Package Available with this Role