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Senior Compliance Management Executive

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360 Resourcing Solutions

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Location:
United Kingdom , Bromsgrove

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Category:
Consulting

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Contract Type:
Not provided

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Salary:

Not provided
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Job Responsibility:

  • To have oversight of the key regulatory reporting requirements and ensure accuracy and efficiency of submission
  • To review and report on key MI trends that have a direct impact upon the regulatory standing of the business
  • To act as a specialist referral point for all regulatory queries that may be put forward by all departments within the business
  • To partake unassisted in relevant strategic meetings from a risk perspective, offering advice, information and support as and when required to promote commercial development in a safe environment
  • To maintain positive relationships with all key contributors demonstrating a supportive rather than preventative stance
  • To ensure that all members of the Risk and wider A&R departments demonstrate high levels of communication and relationship management skills with the adviser force
  • To manage the RME and TRME functions as and when required
  • To develop and deliver an appropriate training programme for the Trainee Risk Management Executives, ensuring that competencies are achieved at projected milestones
  • To oversee the day-to-day running of the T&C Operations department
  • To participate and oversee where necessary in the compliance due diligence for potential acquisition firms, ensuring that deadlines set by the Acquisitions department are adhered to
  • To provide authorisation and challenge where necessary for all pending controlled functions
  • To oversee relevant variation of permission applications as and when they arise
  • To oversee the implementation of regulatory policy and procedural change where this has an impact upon the regulatory position of the Firm
  • To assess relevant regulatory and legislative change and develop adequate project plans with the assistance of the Project Management Office where required
  • To oversee the implementation of external regulatory audits as and when they fall due
  • To provide sign-off to A&R Assurance for recommended breach actions
  • To oversee the prompt renewal of all Firm regulatory licences and insurances

Requirements:

  • Achievement of all responsibilities within deadlines set
  • Measurement of the ability to operate within a self-driven and independent framework
  • Evidence of risk mitigation through internal and external audit
  • Understanding of key regulatory and industry focuses
  • Understanding of FCA reporting systems
  • Demonstration of strategic input at senior management level
  • Operating within an independent framework
  • Understanding of regulatory rules and principles to a high level
  • Understanding of all processes and departments across the business
What we offer:
  • Flexible working
  • Competitive holiday allowance
  • Annual buy & sell holiday scheme
  • Birthday off
  • Additional holiday days for long service
  • Annual Christmas and Summer parties
  • Contributory pension scheme with Royal London
  • Death-in-service benefit
  • Discretionary annual bonus
  • MediCash app with cashback on health initiatives
  • Discounted health club memberships
  • Free healthcare benefits
  • Tailored learning and development programmes

Additional Information:

Job Posted:
May 04, 2026

Employment Type:
Fulltime
Work Type:
Hybrid work
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