A highly respected Financial Advisory firm is looking for a Compliance Manager to join the business. This exciting new role has been created to ensure compliance with existing and new regulatory requirements.
The role will involve taking responsibility for the following:
• FCA Permissions
• Financial Resources Requirements / Capital Adequacy
• Compliance Procedures
• Senior Management meetings
• Annual Compliance Report (incorporating Anti-Money Laundering)
• Anti-Money Laundering (AML) / NCA reports / JMLSG changes / FATF updates
• File checking (Client file ‘advice’ records)
• Advice process / file standards & the key elements to robust client records
• Investment Committee, Wraps & Platforms – Research
• PROD & target market implementation
• Consumer Duty planning & implementation / TCF / Duty of care / Annual reviews
• Training & Competence (T & C) / CPD / Certification
• Remuneration policy
• Income Drawdown / Structured Products
• Data Security / Business Continuity Plan / Business resilience / Record-keeping
• Fit & Proper declarations
• Complaints / DISP
• Financial promotions
• Strong Compliance management experience within the Wealth Management industry.
• Qualified to QCF Level 4 or equivalent as a minimum.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly.