Compliance Manager, Wealth Management (CF10)
An opportunity for an existing Compliance Officer or Compliance Manager to join one the regions fastest growing wealth management companies. If you currently hold CF10 as a Compliance Manager, great, but if you have sufficient experience without holding the FCA approved persons responsibility for a Compliance Manager and are looking take the next step in your career, my client would be interested to discuss your experience and consider you for this position.
Some of the tasks associated with the Compliance Manager are, but limited to;
- Support the business in all matters pertaining to the compliance function of the business.
- Identify and manage compliance risks, provide solutions which underpin the business' commitment to fair treatment of our customers
- Establish effective relationships and provide trusted, pragmatic and pro-active compliance support to all areas of the UK business
- Support the business in achieving its strategic objectives while demonstrating business values and promoting culture of accountability
- Participate in client audits, prepare for visits, collate feedback and identify and manage changes required
- Play an active role in raising regulatory awareness through training in the business
- Review and approve business documents including procedures, strategies and letters
- Establish and maintain effective relationships both internally and externally, providing assurance support to all areas of the business e.g. change, strategy, ops
- Support business in identification, management and resolution of incidents as and when required
- Identify and escalate any instances of regulatory breaches via appropriate governance
- Be effective in using and implementing business tools, systems and controls for analysing and monitoring regulatory risks
- Experience of working in a compliance role within a wealth management business, preferbly an IFA practice.
- Demonstrate excellent standards of delivery of compliance best practice in a regulated business
- Excellent communication skills and excellent attention to detail
- Good negotiation skills
- The ability to solve problems creatively and effectively
Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.
Please note that our client is an equal opportunities employer and adheres to all relevant legislation and offer services regardless of age, race, sex, disability or religious belief.
- Wealth Management
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