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Compliance Manager

  • Location: Scotland
  • Salary: c.£65,000 + Bonus + Benefits per year
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Expiry Date: 14 August 2022
  • Job Ref: PC/17614

(Glasgow, Edinburgh, Keith)

​Job Description: Holding senior management Functions 16 & 17, the role holder will be responsible for compliance in up to 5 personal Investment Firms (IFAs) i.e. ensure they meet regulatory obligations.

Key responsibilities include:

• Implementation of the company’s compliance Framework with each regulated entity

• Advising each firm on compliance and business standards to ensure these align to regulatory requirements

• Ensuring suitable compliance policies and procedures are in place

• Ensuring regulatory obligations under the Senior Managers and Certification Regime are met

• Supporting firms in all compliance matters

• Overseeing the implementation of suitable financial crime controls

• Overseeing the implementation of suitable training and competence arrangements

• Ensuring the firms’ activities are appropriately monitored

• Advising firms on group policy and FCA requirements

• Approving financial promotions

• Contact point for FCA

• Delivery of suitable compliance training to staff

• Investigation of breaches

• Investigation of complaints

• Maintenance of central registers e.eg. complaints, breaches, conflicts of interest

The Person:

• At least 5 years’ experience of compliance within the IFA sector

• Previously held CF10/11 or SMF 16/17 (preferable)

• Detailed knowledge of FCA requirements relation to investment advisers and portfolio managers