Compliance Manager

Job Description

Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis.

As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive ethical firm culture that puts our clients’ interests first, protects them from harm and safeguards the integrity of the firm through pro-active risk management, monitoring, training and process improvement.

Role Responsibilities:

• Assist the Compliance Officer to complete any actions arising from the firm’s Business Diary and Compliance Monitoring Programme
• Assist the Compliance Officer with the firm’s Complaints Handling process
• Keep abreast of regulatory change
• Assist the Compliance Officer with preparation for meetings with the Board and General Manager. Undertake any actions arising from the meetings as directed.
• Ensure team’s compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times
• Ensure team’s compliance with, TCF, SMCR, T&C and financial crime (anti-money laundering, data security, antibribery, fraud and corruption) procedures of the firm at all times
• Challenge or report, where appropriate, the advice provided by advisers
• Assist in post-sale review of at least 10% of completed cases each month
• Assist in pre-sale reviews where the criterion for pre-approval is met and in 100% of cases for non-CAS advisers.
• Manage the workflow of the pre-approvals so it doesn’t negatively impact the client experience
• Identify risk areas, propose solutions for managing risk and implement across the business

Key Skills & Experience:

• ​​​​​​​5+ years compliance experience within an independent financial planning firm
• Ideally Chartered or at least Diploma qualified (Level 4) with additional qualification in other advice areas a plus
• Knowledge of FCA requirements in relation to financial advice
• Demonstrable understanding of Retirement Income Advice would be a plus
• Excellent organisation, time management and communication skills
• Good attention to detail
• Proactive nature with ability to work on own initiative
• Excellent interpersonal, listening, numerical and IT skills
• Personable, friendly manner and the ability to build good working relationships with advisers and the rest of the firm
• High level of organisational, IT and analytical skills
• Good written and oral communication skills, ensuring that communication is appropriate to the audience and outcome required
• Ensure a team approach is maintained in a professional manner with an energetic and enthusiastic approach to problem solving

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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