£35,000 to £50,000
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.
- Communication Skills
- Financial Services
- Regulatory Requirements
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