Great opportunity for an experienced Compliance Manager within the Wealth or IFA Space. The role will be required to hold SMF16 & 17, the role holder will be responsible for compliance within personal Investment Firms (IFAs) ensuring they meet regulatory obligations.

Key responsibilities -

• Implementation of Group’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

• 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

• Compliance reporting:

• Overseeing the completion and submission of regulatory returns

• Providing compliance reports to firm Boards and to Head of Compliance

• Acting as the firms MLRO and Nominated Officer.

Experience required :

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

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

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

• Regulatory/Compliance qualifications e.g. ICA (preferable)

• Adviser qualifications (preferable)