Compliance Manager
Posted 27 March by
Fram Search
- Chartered financial planning firm
- Retail Financial Services Compliance and T&C experience required
- Office 1 day a week
Key Responsibilities:
- Support the Head of Compliance in ensuring adherence to all relevant regulations and legislation.
- Maintain detailed and accurate compliance records, reporting any identified compliance issues.
- Assist in monitoring and conducting compliance checks on advice provided by the firm's Financial Planners and Appointed Representatives.
- Monitor the firm's compliance with the Financial Services and Markets Act 2000, FCA Statements of Principle & Code of Practice, and relevant FCA rules.
- Implement and uphold Consumer Duty, ensuring the interests of customers are considered, and they are treated fairly.
- Review and assess advice provided by Financial Planners, including file reviews.
- Provide Training & Competence (T&C) supervisory support to Financial Planners.
- Assist with the preparation and submission of FCA regulatory returns, including RegData, and manage FCA/FOS/FSCS fees data and the firm's Professional Indemnity Insurance cover renewal application.
- Gather, record, and report relevant Management Information.
- Assist with the investigation of complaints, errors & omissions, and data breaches.
- Support the review, update, and implementation of policies and process standards.
Reference: 52384786
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