Senior Compliance Manager

A fantastic opportunity has arisen with a leading financial practice for a Senior Compliance Manager

Responsible for the ongoing develop the Compliance strategy and function within the Network and responsible for ensuring the fulfilment of the ongoing compliance requirements in respect of:

• Advisory Systems and Controls,
• Training & Competence

RDR ready and their advisors have access to the whole of the market.

Essential Experience

• Working at a senior level in a compliance function
• Having managed a function and team of people
• Excellent knowledge of FSA handbooks, rules and parties
• Able to influence at the highest level and negotiate with self employed Member to achieve favourable outcomes in respect of Compliance
• Strong knowledge of all areas of RDR ready.

Responsibilities

• Complaints Management
• Maintaining excellent relationship with the regulator
• Keeping up to date with all areas of retail regulation
• Overseeing Training & Competence standards and adherence
• Presentations to Members
• Providing detailed technical input in all areas of Financial Planning
• Due Diligence assignments
• T&C Supervision of a team of T&C Supervisors
• Delivery and design training
• Management of staff
• Trend Analysis
• Adherence to advisory processes and standards
• Financial Promotions
• PI Insurance
• All aspects of Anti Money Laundering and Financial Crime
• All aspects of Data Protection; DPA Compliance and DPA registration
• Consumer Credit Licensing

Qualifications

• Essential: Diploma in Financial Planning or above/very close to Diploma
• Desired: H15 Supervision and Sales Management
• Desired: G60, AF3, or above
• Desired: Prince II Project Management or equivalent.