Compliance Manager/Senior Manager
2 weeks ago
GMP Recruitment are proud to be partnered with one of Worcestershire s leading Financial Planning & Wealth Management companies. We are supporting their recruitment for an experienced Compliance Manager to join their team. Full time or Part time will be considered.
This is an office-based role, and you will be based at either the Gloucester or Droitwich office. You must be flexible to travel to the other office to work when required.
This position is working Monday Friday 8.You will be offered a competitive salary, dependant on experience.
As Compliance Manager you will play a pivotal role in the firms regulatory and risk framework, ensuring systems and procedures are in place to meet both regulatory and internal requirements for all markets the company operates. You will be a confident and pro-active communicator, being responsible for updating all stakeholders on regulatory change and horizon scanning.
Compliance Manager Responsibilities:
Develop and deliver a sustainable risk-based compliance programme and draft compliance policy and procedures, with annual reviews thereafter to continuously improve efficiency and meet regulatory requirements.
Identify compliance process improvements and weaknesses and present solutions where appropriate.
Manage day to day compliance activities alongside the compliance associate.
Manage annual compliance diary to ensure key business and regulatory timescales are met and communicate with relevant stakeholders to ensure timely completion.
Monitor and maintain regulatory registers to identify relevant risks.
Take responsibility for sustaining standards of regulatory compliance.
Provide guidance to the Group on regulatory changes and support as and when required to consultants and individuals.
Management and oversight of the Training & Competence scheme, identifying areas for action and improvement.
Organize and implement internal training for staff.
Provide regular feedback to key stakeholders on risk related matters.
Manage all aspects of complaints through to resolution.
Ensure continual embedding & implementation of Consumer Duty within the Firm.
Implement any identified action points from external compliance audits.
Represent company at key project meetings to implement propositional and or regulatory change into the business.
You must have had previous experience of working within an IFA or Wealth Management firm, with an emphasis on regulatory compliance for approved persons.
Certificate in Financial Planning or equivalent
CII RO1 & J07/AF6 or equivalent training as a T&C Supervisor (ideal but not essential)
Good knowledge of FCA Conduct of Business Rules, Financial Planning activities and the Regulatory Financial environment (FCA rules)
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