One of the UK's leading Wealth Management organisations is currently seeking to recruit a Financial Planning Governance Associate to work within their Risk & Compliance Division.
The successful candidate will report to the Head of Financial Planning Governance and assist in implementing strategy, business plans and overseeing the Financial Planning business controls execution. This role will involve working closely with Financial Planners to maintain relevant front office policies and supporting procedures ensuring these remain relevant, up to date and that policy conformity is regularly monitored and reported on to the Wealth Governance Committee (WGC).
If you have 3+ years' experience in a similar role within the financial services industry (ideally private client Wealth Management), and proven strong stakeholder management with ability to work closely with Front Office, Risk Management and other internal teams to implement processes and strategies.
Support Head of Financial Planning Governance in developing strategy, business plans and the implementation of strategic initiatives.
Assist Financial Planning teams with suitability queries
Ensure that any changes to suitability and wealth governance processes / controls in the company are adopted where appropriate and implemented in a timely manner
Engagement with Risk Functions within first and second line in all matters pertaining to Wealth Governance and front office policy and controls.
Ownership and maintenance of relevant front office policies and supporting procedures ensuring these remain relevant, up to date and policy conformity is regularly monitored and reported on to the Wealth Governance Committee (WGC).
Organise training, as required, in relation to Wealth Governance and Suitability processes
Annual Policy reviews and updates as covered by the Wealth Governance Committee (WGC)
Annual review of preferred product panels and associated due diligence
Be aware of external developments likely to impact the business, e.g., regulatory, or environmental changes.
Undertake investigations, assessments and reviews as required or requested.
Provide regular reports and MI on operational activity of the team, findings, trends, and any regulatory issues.
Qualifications: Academic/ Professional/ Regulatory:
CII Diploma preferable
Demonstrable experience of Wealth Management is a pre-requisite
Minimum of 3+ years working in the Wealth Management sector
Proficient MS Excel and PowerPoint skills
Compliance or Risk background preferable
This is a fist class opportunity to join a leading name in the Wealth Management sector, a company with a first class reputation for employee engagement offering a highly competitive salary, good bonus, comprehensive benefits along with an agile working environment.