Technical Policy Consultant

A leading and growing wealth management business is looking to appoint a technically strong financial-planning professional into its Compliance function, taking responsibility for providing 2nd line technical oversight and assurance of its 1st line checking framework. This is a newly created and highly technical role, sitting between traditional Compliance and an internal audit-style assurance function. The business has a strong team of financial advisers providing complex advice across areas including pensions, pension transfers, retirement planning and inheritance tax. That advice is subject to review by a dedicated 1st line checking team. The purpose of this role is to provide an additional layer of independent technical challenge - checking the checkers and ensuring that the firm''s policies, guidance and controls remain robust, effective and fit for purpose. The roleYou will provide independent 2nd line oversight of the firm''s existing checking and assurance processes, using your technical expertise to identify weaknesses, challenge existing approaches and ensure the business continues to operate to a high technical and regulatory standard. Your responsibilities will include: Reviewing the work and conclusions of the 1st line checking team. Providing independent technical challenge and assurance. Assessing whether the firm''s checking methodology and controls are sufficiently robust. Identifying technical gaps, inconsistencies and areas of regulatory risk. ..... full job details .....