A well established and highly regarded IFA firm, within Newcastle upon Tyne, is looking to appoint a Compliance Manager, to ensure that they adopt a risk based approach to compliance monitoring and that both business decisions and priorities are aligned with the TCF principles.
It is envisaged that the individual’s responsibilities will develop over a period of time, to include the following key areas:
- Approved Persons
- Compliance Monitoring
- Systems and Controls
- Selling Practices
- Complaints Handling
- Financial Promotions
- Training and Competence
Candidates will ideally be DipFA (or equivalent) qualified, however part-qualified individuals with knowledge of the above areas, may be considered. As a minimum, you must have experience of compliance monitoring (file-checking) and knowledge of AML and TCF principles, with a desire to learn and develop further. Study support will be provided to achieve full Diploma.
Benefits include a salary of between £25,000 to £35,000 (depending on experience), 35 hours per week, bonus, pension, DIS and free parking.