Our client, an award-winning independent financial advice firm, is 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 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, anti-bribery, 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 the 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.
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