MB Fitzgerald are currently working with a fast growing firm of Independent Financial Advisers and Investment Managers who are looking for a Compliance Manager to join their team, providing support to the existing Compliance Director.
Candidates should be Diploma Qualified as a minimum and ideally will hold G60 or AF3 as well. You should ideally be an experienced Compliance Manager. Alternatively, candidates who have a background in Paraplanning or Financial Advice, with a desire to progress a career in Compliance, will also be considered as long as they hold the relevant qualifications above.
- 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
- 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.