Compliance Manager

Recruiter
MB Fitzgerald
Location
Warwick
Salary
£35,000 per annum
Posted
13 Apr 2018
Closes
28 May 2018
Contract Type
Full Time

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.

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.