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Compliance Manager – Wealth & IFA

  • Location: Bedford, United Kingdom
  • Salary: £65,000 per year
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Emilia Thomas
  • Contact Email:
  • Expiry Date: 18 September 2021
  • Job Ref: ET/17875

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 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)