Compliance Manager

Posted 1 February by Recruitment Connection

Compliance Manager

£35,000 to £50,000

Buckinghamshire

Information about the client:

My client is a long established IFA looking to strengthen the team with an experienced Compliance Manager who will also have supervisory responsibilities for the office.

Responsibilities of the role as a Compliance Manager:

  • Contributing to how the business effectively manages their regulatory duties for the FCA and assist in drafting compliance reports and MI for board meetings;
  • Reviewing and creating new policies and procedures that are in line with regulatory requirements and legislation;
  • Risk assessment;
  • Comply with the relevant compliance, TCF, T&C and financial crime (anti-money laundering, anti-bribery, fraud and corruption) procedures of the firm;
  • Ensure that they maintain accurate, detailed and up to date compliance records;
  • Ensure the firm can respond to requests for information from the FCA and provide the requisite notifications to the FCA;
  • Day to day running of the office.

Requirements of the role as a Compliance Manager:

  • To qualify you will need previous compliance experience within a financial services organisation, preferably an IFA, and have a broad base of compliance knowledge;
  • You will need to have knowledge of relevant FCA rules and guidance, regulatory compliance experience and good understanding of other relevant legislation, including that related to financial crime;
  • You should be QCF Level 4 Diploma qualified or any regulated compliance qualification and have all round communication skills.

Ref: 4850

Required skills

  • Communication Skills
  • Compliance
  • Financial Services
  • Regulatory Requirements
  • Risk

Reference: 33401938

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