Compliance Manager

Recruiter
MB Fitzgerald
Location
Warwick
Salary
42000.00 GBP Annual
Posted
13 Apr 2018
Closes
11 May 2018
Job Type
Manager
Contract Type
Permanent

MB Fitxgerald are currently working with a fast growing firm of Independent Financial Advisers and Investment Managers who are looking for an experienced Compliance Manager to join their team, providing support to the existing Compliance Director.

Main Tasks/Responsibilities

  • Support the Risk and Compliance director in refining and embedding the three lines of defence model in risk and compliance management
  • To monitor the regulatory environment using outputs from key bodies and regulators including the FCA, the ICO, FOS and Institute of Risk Management
  • Provide support to the business to ensure the ongoing development of the compliance culture throughout the business
  • Provide oversight to support all employees in their responsibilities to comply with FCA/PRA regulations
  • Monitor the business activities and provide feedback to staff in relation to compliance with relevant legislation, such as Data Protection, Anti-Money Laundering Regulations and Bribery Act
  • Support the risk and compliance Director in providing assurance to the Board around the delivery of good customer outcomes
  • Develop and implement an annual compliance monitoring programme
  • Monitor the adherence to regulatory policies and effectiveness of the T&C schemes, providing improvements where necessary to both behaviours and processes, which involves case checking and appointment observations
  • Aid and assist the compliance introduction of new advisers to the company

Education/Experience/Key Skills

  • Diploma Level 4 qualified or equivalent as a minimum requirement
  • Advanced Diploma in Financial Planning, AF3, or equivalent, or appetite to study for
  • qualification
  • Previous experience of working within an FCA regulated environment, ideally within an advisory firm
  • Excellent knowledge of the various financial services products including Pensions, Equity, Release, Wills, Investments - qualifications to support knowledge in these areas preferred
  • Experience of General Data Protection Regulation (GDPR)
  • Demonstrable experience of regulatory audit - face to face of thematic in nature

On offer is the opportunity to work in a supportive environment for a business that will provide plenty of opportunities to progress within the business and towards qualifications. You'll be provided with a competitive salary and benefits package from day one.