QU
QuestelWorking Student - Compliance
Werkstudent in Compliance für AML - Team bei PAVIS GmbH. Unterstützung in der Recherche und Einhaltung von Compliance - Vorgaben für nationale und internationale Kunden.
About the role
- Manage a geographically dispersed team of compliance professionals, fostering consistent standards and collaborative working practices across the UK
- Collate and analyse compliance management information for reporting to the Head of Compliance Advisory and escalation to relevant committees and governance forums; represent the Head of Compliance Advisory when required
- Lead the operational implementation and continuous oversight of Consumer Duty, ensuring adherence to the FCA’s expectations and demonstrable delivery of good outcomes for clients
- Ensure AML frameworks are up to date, effective and followed across the firm; support AML training, suspicious activity reviews and policy adherence
- Support the auditable system for Financial Promotions sign off to ensure communications are clear, fair and not misleading and reviewed on a timely basis
- Own and execute Titan Wealth Planning’s Compliance Monitoring Plan (CMP) to ensure regulatory coverage and risk mitigation across all business areas
- Support the Head of Compliance Advisory and ensure consistent adherence to regulatory obligations across the national adviser network
- Travel to other offices as and when required; operate on a 35-hour full-time schedule (9am–5pm with 1-hour lunch)
Requirements
- Minimum 3 to 5+ years in a senior compliance role within a regulated financial planning or wealth management firm
- Proven experience leading a small to medium compliance team across multiple locations
- Strong generalist knowledge of the FCA Handbook, particularly COBS, SYSC and PRIN (including Consumer Duty)
- Familiarity with Connect, RegData, AML controls and conduct risk
- Level 4 Diploma in Financial Planning
- Excellent written and verbal communication
- Attention to detail
- Analytical mindset
- Confident presentation to senior management
Benefits
- Competitive salary
- Private Medical Insurance post probation
- Attractive Employee Pension Scheme (7.5% employer & minimum 3% employee)
- 25 days Annual Leave (plus buy and sell up to 5 days)
- Office Christmas close (3-days)
- Life Assurance
- Health cash plan
- Hybrid working
- Discretionary performance related bonus
- Employee Assistance Programme
- Lunch and snacks provided in the Bristol office
- And lots of flexible benefits to choose from!
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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