Compliance Manager
3 weeks ago
- Chartered financial planning firm
- Retail Financial Services Compliance and T&C experience required
- Hybrid working
Qualifications, skills, and all relevant experience needed for this role can be found in the full description below.
Fram Search are working on an exciting opportunity for a Compliance Manager to join a Chartered financial planning firm in West Sussex. Our client is committed to providing holistic financial planning and advice to individuals, households, trustees, and businesses. Reporting directly to the Head of Compliance, the successful candidate will play a crucial role in ensuring the firm operates in accordance with the requirements of the FCA Handbook and adheres to the Conduct Rules. The role will cover an office in West Sussex and once a week or fortnight in Dorset, with the occasional travel to other locations.
Key Responsibilities:
- Support the Head of Compliance in ensuring adherence to all relevant regulations and legislation.
- Maintain detailed and accurate compliance records, reporting any identified compliance issues.
- Assist in monitoring and conducting compliance checks on advice provided by the firm's Financial Planners and Appointed Representatives.
- Monitor the firm's compliance with the Financial Services and Markets Act 2000, FCA Statements of Principle & Code of Practice, and relevant FCA rules.
- Implement and uphold Consumer Duty, ensuring the interests of customers are considered, and they are treated fairly.
- Review and assess advice provided by Financial Planners, including file reviews.
- Provide Training & Competence (T&C) supervisory support to Financial Planners.
- Assist with the preparation and submission of FCA regulatory returns, including RegData, and manage FCA/FOS/FSCS fees data and the firm's Professional Indemnity Insurance cover renewal application.
- Gather, record, and report relevant Management Information.
- Assist with the investigation of complaints, errors & omissions, and data breaches.
- Support the review, update, and implementation of policies and process standards.
The ideal candidate will have knowledge and experience in Retail Financial Services Compliance and T&C. You will have excellent attention to detail, with the ability to meet hard deadlines. You will also be proficient in Microsoft Office applications and confident in using IT systems. Ideally someone who holds the Diploma in financial planning (RO1-5) or equivalent and compliance qualifications would also be desirable.
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