An exciting opportunity for a Compliance Manager has become available with a leading financial services company operating in the Wealth Management space.

The role will involve taking responsibility for the following:

 Manage the FCA relationship and be responsible for completion of all FCA reporting duties

Responsible for horizon scanning future compliance issues and protecting the business against them.

Ongoing management of a centralised investment proposition

Design and implementation of new regulations e.g. Consumer duty

Manage AML checks

Management and process of complaints

Carrying out file reviews, checking all documentation, reviewing adviser recommendations to clients in relation to all products

Preparing and reviewing business compliance KPIs

Reviewing and signing off literature against the firms' services and FCA Financial Promotions rules

Performing regular reviews and updating of financial services policies and processes in line with relevant legislation.

Collating the reporting and KPI requirements for advisors, creating effective communications to ensure all staff are aware of the requirements and performance to date

Monitoring compliance with monthly and annual accounting reporting including monthly checklist and biannual Board Reports

Maintaining a register of issues for consideration by firm management which highlights main risk areas in this area of compliance

Key Requirements:

Level 4 Diploma / QCF level 4 qualified.

Experience of developing a strong control environment within the financial services sector

Have a solid working knowledge of COBS, ICOBS and MCOBS.

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.