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Compliance Manager - Wealth Management company

Posted 15 February by Blakemore Recruitment Easy Apply Ended

Job Title: Compliance Manager

Location: Hertfordshire


Deliver the agreed strategy and procedural objectives regarding compliance standards and technical competence and to take responsibility for the management of individuals within this remit. There are three key functions:


  • Maintain positive relations with the FCA
  • Monitor and interpret regulatory and data protection changes
  • Maintain policy statements and incorporate regulatory change where appropriate
  • Deliver regular staff updates and training
  • Complete Gabriel returns
  • Monthly report to the board

Adviser Monitoring:

  • Manage, maintain and give effect to the Compliance Monitoring Programme
  • Continually monitor and improve service and compliance procedures
  • Identify training programme for Consultants to maintain areas of authorisation
  • Ensure CPD, SPS, T&C scheme delivered
  • Maintain and report on KPI’s
  • Observe client meetings

Support Systems:

  • Ensure procedures are proportionate and promote positive engagement
  • Sign off approved products lists
  • Adapt and maintain suitability templates
  • Pre-approval of higher risk advice
  • Maintain registers and logs
  • Sign off all advertising and marketing materials
  • Investigate complaints and report to COO

Required skills

  • Compliance
  • Compliance Monitoring

Reference: 34147425

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