Are you an experienced compliance professional looking for a new role and a new challenge? Or are you looking to become more senior in your field? We have this exact opportunity, working with a highly successful company in Kidderminster, specialising in independent financial planning and wealth management across the UK.
My client provides independent advice and wealth management services, with offices and clients across the UK.
My client is looking for a part-time Compliance Manager to ensure the security of the offices in the absence of the Directors, Managers and other colleagues. Ensure the company adheres to all rules and regulations stipulated by our governing bodies as delegated by the firms CF10 - Compliance Oversight Officer and CF11 - Money Laundering Reporting Officer.
- Checking client files to ensure compliant and suitable advice given by our Advisers
- Keeping Advisers up to date with regulatory changes
- Performing six monthly reviews of all personnel's continuous professional development records and their associated training and competence needs
- Observe Adviser meetings with clients as part of ensuring their competency
- Maintain up to date training and qualification records for all personnel
- Report to and deal with all matters relating to the FCA i.e. RMAR, Connect, etc.
- Maintaining, updating and creating company procedures and compliance plans, etc.
To be successful you will need
- Level 4 qualified desirable within the financial services industry, but experience is essential
- To be able to provide clear, concise and precise guidance to other members of the team
- Ability to work under pressure, meet deadlines and offer to help those who are struggling to do so
- Generally good level of literacy
- Computer literate
If successful, you will benefit from a salary of up to GBP40,000.
Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.