Compliance Manager

Posted 16 April by Reed Insurance Easy Apply Featured
Our Client, a Chartered Financial Advisory with offices across the East Midlands are looking to recruit an experienced Compliance Manager to join their Senior Leadership Board.

You will join an established team in Nottingham and enjoy a highly competitive salary and excellent benefits package, including your birthday off!

You will ensure that the business fully meets its technical and regulatory compliance obligations,and hold responsibility for compliance administration and monitoring, liability and licence administration and continuous professional development.

• Ensure the business always functions in full compliance of FCA and other relevant regulations, and that the firm can respond to requests for information from the FCA and provide the requisite notifications to the FCA
• Ensure appropriate ethical standards exist within the business and knowledge of the necessary regulatory requirements is kept up to date
• Report to the firm’s senior management team on a regular basis on all relevant compliance issues
• Produce annual compliance reports, and deal with any FCA changes in legislation and ensure the Group is aware of these changes
• Ensure findings from client file reviews are recorded as part of the firm’s management information and reacted to by senior management, where necessary
• Ensure the firm keeps up-to-date KPI data and management information
• Maintain a working knowledge of the technical resources provided by the company
• Maintain knowledge and awareness of the business objectives, the regulatory framework in which it works and compliance procedures

The ideal candidate will have: 

• Specific knowledge of FCA rules and regulations and a good understanding of relevant legislation.
• Effective time management, planning and organisational skills.
• Responsive to direction, supportive of and collaborative with leadership.
• Logical mindset, with ability to think laterally and anticipate.

For further discussion, please call Katt O'Donnell at Reedf Financial Services on 0117 930 4820 / 0116 249 2894 or email on katt.o' 

Reed Specialist Recruitment Limited is an employment agency and employment business

Reference: 34568070

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