Compliance Manager/Senior Manager

1 week ago


Deeside Flintshire, United Kingdom Merje Full time

Our client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis. As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive ethical firm culture that puts our clients' interests first, protects them from harm and safeguards the integrity of the firm through pro-active risk management, monitoring, training and process improvement.
Assist the Compliance Officer to complete any actions arising from the firm's Business Diary and Compliance Monitoring Programme
Assist the Compliance Officer with the firm's Complaints Handling process
Keep abreast of regulatory change
Assist the Compliance Officer with preparation for meetings with the Board and General Manager. Ensure team's compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times
Ensure team's compliance with, TCF, SMCR, T&C and financial crime (anti-money laundering, data security, antibribery, fraud and corruption) procedures of the firm at all times
Identify risk areas, propose solutions for managing risk and implement across the business
5+ years compliance experience within an independent financial planning firm
~ Knowledge of FCA requirements in relation to financial advice
~ Demonstrable understanding of Retirement Income Advice would be a plus
~



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