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:
1. Assist the Compliance Officer to complete any actions arising from the firm's Business Diary and Compliance Monitoring Programme
2. Assist the Compliance Officer with the firm's Complaints Handling process
3. Keep abreast of regulatory change
4. Assist the Compliance Officer with preparation for meetings with the Board and General Manager. Undertake any actions arising from the meetings as directed.
5. Ensure team's compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times
6. 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
7. Challenge or report, where appropriate, the advice provided by advisers
8. Assist in post-sale review of at least 10% of...