Compliance Business Partner

A Compliance Business Partner is required by a leading Wealth Management and Employee Benefits firm to provide group-wide Compliance advice and guidance at all levels. This is a newly created role as a result of continued business growth. The firm operates a hybrid working model allowing you to split your time between the Leicester office and home.

Responsibilities of the role include

• Reviewing and responding to compliance queries efficiently and accurately
• Carrying out second line monitoring as per agreed timetable for advice, product and/or processes
• Reviewing/approving financial promotions and ensuring group communications are compliant
• Providing compliance oversight, guidance and support on relevant group projects
• Highlighting improvement areas through root cause analysis and effectively communicate these to the group where appropriate
• Promoting a positive, solutions driven and collaborative compliance culture group-wide

You will be an experienced Compliance professional who has worked in a Financial Advice, SIPP, SSAS or Investment Management environment and has developed a good working knowledge of PRIN, SYSC and PROD in particular. Any previous experience of Conflicts of Interest, Regulatory Change, 2nd line monitoring, vulnerable clients, TCF or mergers and acquisitions would be advantageous. In addition you must possess excellent communication and stakeholder management skills.


Salary:To £45k + benefits


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