My client operating in the Wealth Management space is looking for a Compliance Manager to join the team.
The role will involve taking responsibility for the following:
Implementation of the company’s compliance Framework
Advising the 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 the company 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 the company 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
Key Requirements:
At least 5 years’ experience of compliance within the IFA sector
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.
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