My client is a well-established and successful IFA practice in South Manchester/Cheshire and they are looking for an experienced Compliance Manager to join their team.
The successful candidate will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.
- Keep up to date with and understand, relevant laws and regulations
- Monitor compliance with laws, regulations and internal policies
- Ensure that your findings are recorded and followed up with management so that issues can be rectified
- Educate employees on not only the regulations but also the impact to the organisation if these are not complied with
- Investigate irregularities and non-compliance issues
- Report back to business functions on current risk and compliance performance
- Highlight or escalate areas of concern
- Contribute to robust and effective compliance controls within the organisation
- Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
- Assist in the gathering of internal information in response to regulatory requests
- Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects and processes)
- Collaborate with other departments to create a culture of compliance
- Conduct annual staff training - Financial crime/anti money laundering etc.
- Maintain T&C records for all Advisers
- Conduct regular T&C 121 meetings with Advisers
- Complete and submit GABRIEL report in conjunction with Accounts Manager
- Complete and submit PI insurance renewal in conjunction with the Accounts Manager
- Annual fit and proper questionnaires
- Annual FCA staff declarations
- Complete all new business file checks
- Work with Technical Manager to ensure all processes are kept up to date and enforced
- Ensure annual Adviser testing in completed
- Have experience of pre-approval authorisations
- AF3 desirable, must have experience of occupational pension schemes
- IFA experience essential
The company offer a competitive salary and an excellent benefits package.
For more information please contact Graeme Hyland.
Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. 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.
- Compliance Monitoring
- Quality Assurance
- Compliance Officer
- Compliance Manager