Regulatory Compliance Manager
4 days ago
**About the Role:**
We are seeking a highly experienced Compliance Officer to join our team at Recruit Wealth Ltd. As a key member of our Financial Planning and Wealth Management division, you will be responsible for overseeing compliance, T&C, and AML procedures.
In this role, you will support the Senior Management Function (SMF) 16 and SMF 17 functions, ensuring that our company operates within the guidelines of the Financial Conduct Authority (FCA). You will implement and oversee compliance policies and procedures, coordinating training and competence requirements for advisory staff.
Your responsibilities will include:
- Complying with the Financial Services and Markets Act 2000, FCA's Conduct rules, and Statements of Principle & Code of Practice;
- Dealing with the regulator in an open and cooperative way when required;
- Making sure appropriate ethical standards exist within the firm at all times;
- Keeping up-to-date with relevant regulatory, product, legislative, and technical requirements;
- Maintaining accurate, detailed, and up-to-date compliance records;
- Reporting on a monthly basis to the Leadership team on relevant compliance issues;
You will also ensure quality of advice maintained & monitored via pre-sale checks of a selection of advice files and post-sale checks. Additionally, you will carry out product due diligence when required, review and sign-off financial promotions, and assess adviser conduct metrics against predefined KPIs.
The ideal candidate will have excellent Financial Services compliance experience, with a strong background in regulatory compliance, risk management, and people management. This is a stand-out role for any individual who possesses these skills and qualifications.
**Salary and Benefits:**
We are offering a competitive salary of £60,000 - £80,000 per annum, depending on experience, as well as a range of benefits, including hybrid working, company bonus, and professional development opportunities.
This is a fantastic opportunity to join a dynamic team and contribute to the success of our company. We look forward to receiving your application.
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