Compliance Risk Manager
3 weeks ago
We are seeking an experienced Compliance Risk Manager to join our team at Clayton Davies.
The estimated salary for this role is £60,000 - £80,000 per annum, depending on experience.
Job Description:
Company Overview: Our client, a successful financial services firm operating in the wealth management space, is looking for a Compliance Risk Manager to provide full compliance services and manage relationships with regulatory bodies.
Key Responsibilities:
- Manage the FCA relationship and be responsible for completion of all FCA reporting duties.
- Horizon scan future compliance issues and facilitate mitigating actions with the firm's management team.
- Ongoing management of a centralised investment proposition.
- Design and implementation of new regulations.
- Management of AML checks and complaints.
- Carrying out file reviews and checking all documentation.
- Preparing and reviewing business compliance KPIs.
- Reviewing and signing off literature against FCA Financial Promotions rules.
Required Skills and Qualifications:
- Be qualified in the Diploma in Financial Planning (or equivalent).
- Experience of developing a strong control environment within the financial services sector.
- Solid working knowledge of COBS, ICOBS, and MCOBS.
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