Jensten

Compliance

• Provide regulatory subject matter expertise and guidance to retail firms
• Support horizon scanning and communicate regulatory changes
• Respond to ad-hoc compliance queries
• Review and approve financial promotions
• Manage risk registers and KRIs, providing oversight and challenge
• Identify and report breaches, ensuring appropriate actions are taken
• Assist with regulatory filings and submissions
• Deliver risk and compliance training across the Broking Division
• Support internal reporting for the Broking Risk & Compliance Committee
• Review and update R&C owned policies in line with agreed review cycles and internal governance requirements
• Provide data protection support to the Data Protection Officer, including compiling Data Subject Access Request responses in accordance with regulatory requirements and internal procedures
• Oversee key contracts (e.g., TOBAs, Delegated Authorities)
• Support compliance due diligence on acquisition targets
• Support integration of newly acquired businesses and remedial actions

Risk and Compliance Manager – Retail Broking