Head of Compliance
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Location
Manchester
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Discipline:
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Salary:
£75,000 + Benefits
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Consultant:
Paul Clayton
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Email:
pclayton@merje.com
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Job ref:
PC/15367
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Published:
20 days ago
My client is looking for an experienced Head of Compliance to ensure the company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.
The role will involve:
- Keep up to date with, and understand, relevant laws and regulations
- Monitor compliance with laws, regulations and internal policies
- Ensure that your findings are recorded and followed up with management so that issues can be rectified
- Educate employees on not only the regulations but also the impact to the organisation if these are not complied with
- Investigate irregularities and non-compliance issues
- Report back to business functions on current risk and compliance performance
- Contribute to robust and effective compliance controls within the organisation
- Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
- Conduct annual staff training – Financial Crime / Anti Money Laundering etc
- Maintain T&C records for all Advisers
- Conduct regular T&C 121 meetings with Advisers
Key Requirements:
- Have experience of pre-approval authorisations
- AF3 or equivalent pensions qualification desirable
- Must have experience of liaising with the FCA