Our client is a boutique Wealth Manager and they are currently looking to recruit a new Compliance Manager.
This is an excellent opportunity to join a reputable firm which was set up in 2013 and continues to enjoy year on year growth. They are looking for someone who has a strong track record of managing Regulatory requirements within a Wealth environment and is excited to be a part of their growth plan.
The objective of this role is to manage regulatory requirements, identify and manage business risks and the
implementation of compliance ‘best practice’.
- Producing an annual compliance report
- Making all appropriate notifications to regulators
- Managing Approved Persons Controlled Functions including: commencement, withdrawal and amendments
- Communicating compliance developments that have a direct impact on the Financial Planning team.
- Managing relationships with Discretionary Fund Managers and relevant third parties.
- Managing projects to implement updates to business procedures impacted by regulatory change
- Adopting a risk-based approach to compliance monitoring
- Undertaking member file reviews to review adherence to company advice procedures.
- Reviewing any complaints against the business in accordance with complaints handling procedures
- Submitting complaints notifications accurately to the regulators.
- Approving financial promotions in accordance with the regulators’ rules;
- Updating and maintaining the Training and Competence Procedures of the business.
- Producing an annual Money Laundering Report
- Perform routine file checks to ensure Money Laundering requirements have been met;
- Relevant generalist Compliance experience gained within a Wealth, Financial Planning or Advisory business
- Knowledge of FCA Handbook and Rules
- Excellent verbal and written skills
- Strong attention to detail and inquisitive nature;
- Strong interpersonal skills – engagement with a variety of stakeholders across the business
- Strong oral and written communication
- Maintaining Continuous Professional Development to meet personal development needs;
- Promoting the profile of the company within our profession and with trusted partners; and
Demonstrating behaviours which set the culture of the company