Advisory Manager

Roles and Responsibilities

Initial

•                    Help set all guidance & Policies beyond just regulatory needs

•                    Advise on proposed Operational SOP pre implementation and suggest amendments and/or enhanced controls where needed

•                    Deliver initial training as transformation commence

 Ongoing

•                    Ensure aware of all regulatory changes that may effect the business, analyse as to effect and possible changes in Operations and ensure disseminated to Management as early as possible

•                    Where necessary during Consultation phase engage with Regulators and/or Industry colleagues to ensure practical considerations take into account

•                    Assist in implementing any changes to SOPs required (and necessary training provided)

•                    Likewise engage with Regulator when business plans or regulatory permissions change

•                    Advise the business on regulatory interpretation as required on a day to day basis

•                    Ensure all required routine training available/delivered as transition phase commences and ongoing for onboarding employees or as annual mandatory training

•                    Advise on breaches and complaints management

•                    Liaise with/oversee Offshore colleagues in same function (presumably just as to their obligation with local regulatory needs

Skills and Knowldege

•                    Expert regulatory knowledge and then how regulation applies across relevant business activities and oversight of such

•                    Ability to work without supervision and under pressure

•                    Efficient and well organized

•                    Strong communication skills both written and verbal

•                    Credible and assertive manner

•                    Discretion, tact and resilience

•                    Professional manner with the ability to influence and persuade

•                    They must be a skilled communicator and able to deal with a wide variety of internal stakeholders and financial regulator

Qualification:

•                    Graduate of any course

•                    6-8 years related experience

•                    Previous experience of advising on Policies and SOPs as well ongoing Regulatory Interpretation covering Retail Investments (and willing & able to quickly pick up Pensions aspects if not covered before)