One of the UK's leading wealth managements organisations is seeking to recruit a New Business Checking Manager to work within their compliance function to lead a team of 6 in providing support to 120 Financial Planners based across the UK.
To object of the role will be to support the activities of the Financial Planning Central Management team and the Head of Financial Planning Operations through undertaking desk-based monitoring and risk analysis to monitor the activities across the company's Financial Planning team.
The role will also support and champion the adoption of a new policy, process and controls, using key control metrics and business MI to identify risk and recommend proportionate remediation, including the provision of training requirements or process and control improvements. All of which will contribute to improved governance and culture within the front office.
Relevant knowledge and experience of the wealth management sector, expertise in the use of Excel spreadsheets for manipulating data and producing meaningful and relevant reports for management.
Good presentation skills and competent in the use of PowerPoint
Conduct monitoring activities in relation to front office using a combination of regular monitoring, exception-based monitoring, thematic review work
Production and analysis of Management Information and the reporting to key stakeholders and governance forums
Review and testing effectiveness of existing controls
Liaise and assist as required with other company Functions, including, Risk and Compliance, Business Support and Internal Audit in all matters pertaining to monitoring and Investment Governance work.
CII Certificate level or equivalent
Ideally some previous management experience within financial services
Working towards CII Diploma exams 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
Ultimately, 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.