Compliance Manager/Distribution/Mortgage/Investment/Rewards

Compliance Manager/Distribution/Mortgage/Investment/Rewards

My client, a large UK Bank, requires an experienced Compliance Manager on a 12 month contract to join their Retail Distribution Team. The 4 areas you will be looking after are Mortgages, Financial Planning, Rewards and Whistle Blowing. This is more of a First Line Risk role so you will have previous experience conducting mystery shops on Advisers to ensure advice given complies with FCA guidelines and Consumers are treated fairly.

The successful Compliance Manager will also have previous experience reviewing the risks associated with Incentivising Advisers around Product Sales and reviewing MI reports to ensure there is no product churn.

The Compliance Manager must meet the below criteria:

QCF Level 4 - DipFA, CeMAP or equivalent

Proven track record in a similar role within Retail Banking

Experience monitoring the risks associated in Incentivising Advisers and the Rewards in place

In depth understanding of Mortgages and Financial Planning products - Life Assurance, Investments, Pensions.

Excellent analytical ability and previous experience monitoring MI to spot product churning trends

This is a fantastic opportunity for a Compliance Manager to join one of the top Banks in the UK on a 12 month contract with the flexibility to work a day a week from home so please apply ASAP as interviews are to take place immediately.

Keywords: Compliance Manager, Distribution, Mortgages, Investments, Pensions, Financial Planning, Retail Distribution Review, Internal Sales, Rewards, Incentives, Whistle-blowing, Conduct Risk, Operational Risk, FCA, RDR, ICOBS, MCOB, Advice, Legal, Banking