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Risk and Compliance Officer

London, Greater London, United Kingdom, £ £ 35000.00-45000.00 Annual Annual, Permanent


Risk and Compliance Officer
Location: London Canary Wharf
£35,000 to £45,000 depending on experience
An exciting opportunity has arisen at Pinnacle Wealth Management who are a Principal Partner Practice of St. James's Place Wealth Management Plc, based in Canary Wharf.
St. James's Place Wealth Management plc (SJP) is a leading, and highly regarded, FTSE 100 UK Wealth Management company which distributes a range of Investment and Retirement products and financial solutions to a High Net Worth client base. SJP has funds under management in excess of £130bn.
The Role: Risk and Compliance Officer
* Identify, communicate and address key risks to the practice through monthly risk reports. Present these to management as well as providing solutions for each
* Liaise closely with the St. James's Place regulations team to ensure you are fully abreast of any regulatory changes that may impact the practice such as, FCA guidance and EU laws
* Provide training, where necessary, to mitigate risks for staff members and Advisers
* Support safe growth of the practice as well as provide appropriate regulatory guidance to deliver excellent client outcomes
* Proactively manage the client servicing processes
* Compile and maintain a risk register for the practice and risk reports for Advisers
* Manage the Pinnacle quality gateway to green channel
* Identify and compile an action plan for those individual advisers who are not yet on the Pinnacle green channel within an agreed timeframe
* Develop training handbooks and guides to support the practice
* Undertake a half yearly full process review to ensure that all systems are operating efficiently and compliantly
* Provide comprehensive and continuous training for new and existing financial advisers and support staff in the practice
* Translate new regulation and compliance risks into day to day working habits that deliver the right outcomes ensuring new policy and procedures are followed by the practice
* Undertake regular reviews of the documentation standards to ensure that Pinnacle policies are being adhered to
* Communicate in a clear, measured and succinct manner
* Focus on positive client outcomes
* Identify best practice areas to help formulate blueprint for future growth
* Help measure and maintain culture.
The Person: Risk and Complaince Officer
* Strong and effective communicator with the ability to work under pressure and meet deadlines
* Solution and service orientated, technology savvy and willing to embrace new systems and software
* Good analytical and decision-making skills
* Strong influencing skills, adaptable and flexible
* Discrete and professional in all communication
* Strong emotional intelligence and an effective listener
* Willingness to challenge in a constructive and non-confrontational manner
* Organised multi-tasker and displays effective prioritisation
* Self-motivated and willing to work at times in isolation and as part of a wider team
* Ideally hold a Level 4 qualification in financial planning
* At least 2 year's experience in a Risk environment
* Ideally degree educated.
The Rewards: Risk and Complaince Officer
Annual pay reviews
Annual performance bonuses
Full training /annual and ongoing reviews to improve your development
Life cover paid for by Pinnacle
Access to private medical cover (although this will need to be paid for yourself we have access to preferential rates)
Pension contributions (if you opt in we will contribute 5%)
Fitness room, mindfulness room and multi faith room
Please note that this Senior Partner Practice will conduct a standard Financial and Identity check on any candidates who are offered a role within this Practice.
Please ensure that as you apply you are taken to the application site for Burgh Recruitment who are supporting the recruitment of this role

Job Details

Not Specified
London, Greater London, United Kingdom
£ £ 35000.00-45000.00 Annual Annual