Field Risk Manager
Compliance, Risk, FCA, Financial services, SCMR, AR, Hampshire, hybrid,
Your new company
A financial services organisation based in Hampshire are actively recruiting for a Field Risk Manager. This is an exciting opportunity to join a team of compliance professionals who will form an in depth and solid relationship with our AR Firm Principals, understanding their business and working with them to ensure their firm and the network remains safe.
Your new role
As a field Risk Manager your role is to deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.
- Identification and resolution of customer, regulatory, reputational, and operational risks
- Manage areas of risk within Network appetite and identify and investigate areas of risk through Supervisory activity
- Conduct Inspection Visits, complete reports, provide coaching and feedback, identify risks and escalate any identified failings through to the Supervisions & Oversight Manager
What you'll need to succeed
- Experienced in field supervision or compliance monitoring (ideally around 3-5 years minimum)
- Competent assessor of adviser competence who can deliver feedback
- Confident communicator, particularly skilled in questioning, and be able to display sound judgment when assessing risks
- Experience of Network/National and IFA/restricted advice models and QCF Level 4 or equivalent Compliance & Risk qualification
What you'll get in return
- Salary Comparative to Experience
- Hybrid working
- Pension Scheme - 10% non-contributory company pension scheme that can be boosted through personal contributions
- 26 days holiday
- Private Medical Insurance - Single cover as standard, cover can be increased at your own cost
- Life Assurance - 4x your salary, cover can be increased at your own cost
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.
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