Compliance Manager - Part time 3 or 4 days per week
MB Fitgerald are currently working with a professional, well established firm of Financial Planners who have a number of offices across Worcestershire. They are currently looking to replace a long serving member of staff who is relocating. Ideally we're seeking an experienced individual who would be a good fit for the team, perhaps somebody looking to reduce their hours to part time.
The role is to assist the Compliance Director in the implementation and monitoring of regulatory and internal compliance procedures. The aim of the team is to minimise the risk to the company from it's activities.
The company will offer a competitive basic salary on a pro rata basis and a benefits package.
- Assist the Compliance Director in processing of complaints.
- Collate and maintain all regulatory logs.
- Assist in production of regulatory returns.
- Assist with the checking of client files to ensure compliance with internal / regulatory standards.
- To undertake the pre-approval of high risk reports
- To approve financial promotions.
- To keep compliance procedures, forms and manuals up to date.
- To help staff with day to day compliance queries
- Make sure Adviser's CPD is up to date.
- Anti Money Laundering
- To file and / or store records and file in accordance with internal standards so they can be accessed and / or retrieved in an efficient manner.
Candidates will be working mainly from their Kidderminster offices but should be flexible as occasional travel to other local offices will be required.