​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.

​

If you would like this job advertisement in an alternative format, please contact MERJE directly.