To support the Compliance Director in maintaining and delivering effective management and monitoring of all aspects of Central Compliance systems, controls, and processes to safeguard the interests of our customers, advisers and the firms within the Group to meet the expectations of the firm and the Financial Conduct Authority in respect of the Fair Treatment of Customers.
To support the Compliance Director with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.
Key responsibilities include:
• Manage the compliance team.
• Coordinate and produce monthly compliance reporting.
• Deal with client’s complaints in line with the firm’s complaint handling procedures. Ability to liaise with complainants and 3rd parties to obtain suitable outcomes.
• Have an effective working relationship with the insurance brokers and FOS
• Maintain the firms Complaints Register.
• Manage the firm’s errors and omission process.
• Certification- Maintain and manage the recruitment, appointment, and ongoing certification of advisers under the Senior Management & Certification Regime, including monitoring of fit and proper obligations and financial monitoring.
• Work closely with Marketing and the Business to ensure that all financial promotions are approved as being compliant in a timely manner.
• Contribute and maintain the Business Practices Manual and company directives.
• To assist the Compliance Director in producing regulatory and other returns as required from time to time.
• Manage the firm’s data protection requirements including DPIAs, IAR, completing DSAR and reporting.
• Undertake ad-hoc activities as requested to support the business and the wider Compliance team
• Minimum Level 4 qualified or equivalent
• Must have previous experience working within the Wealth Management space.
• Minimum 5 years’ operating in a Compliance focussed role.
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.