My client is an award winning firm of Chartered Financial Planners, with an excellent reputation for providing the very best wealth management advice.
As a result of their continued success, my client now requires a Compliance Manager to assist the Compliance Director in administering effective control & monitoring processes across the business.
Role & Responsibilities:
* Design and implement business processes.
* Manage risk within the business through identification and establishment for new controls.
* Keep up-to-date with regulatory and industry developments.
* Provide cover and support for the Compliance Director as appropriate.
* Liaise with key stakeholders, senior managers and board members in respect of regulatory and business issues.
* Communicate and escalate issues or matters which could not be resolved at Manager level.
* Assist in making all appropriate notifications to the FCA.
* Manage resource within the function.
* Contribute to the department and company objectives.
* Apply a risk-based and common-sense approach to the compliance monitoring process.
* Apply a risk mitigating structure of compliance and business controls.
* Undertake regular reviews of business statistics, ensuring that data and management information in respect of platform use is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly.
* Consider and develop the internal monitoring structure and effectiveness of controls.Take on tasks and projects as delegated by the Compliance Director, or develop tasks which are deemed necessary due to other influences or circumstances beyond Supervisor remit, applying an authoritative, can-do attitude and a timely approach.
* Update manuals, procedures and company documentation as required.
* Attend events, seminars, training, regulatory workshops, etc as deemed necessary.
* Complete tasks to a high standard, and apply initiative to accommodate for wider issues.
Key Skills & Experience:
* Minimum of level 4 Diploma in regulated financial planning (or equivalent) and / or notable & credible investment qualifications covering management, discretion & platforms.
* Understanding of contracts and relevant documentation.
* Ability to train and motivate others whilst remaining flexible/adaptable.
* Ability to manage and co-ordinate a team.
* Highly developed analytical, observational and communication skills.
- Detailed knowledge of FCA rules and their interpretation/application.
Unfortunately, due to a high volume of interested candidates, only successful individuals can be contacted.