Compliance Manager – IFA or Life & Pensions Provider Experience Required
Our Client, a leading IFA, is looking for a Compliance Manager to join their team. Reporting to the Compliance Director, the main duties include the following:
- Ensure the firm has adopted a risk based approach to compliance monitoring
- Review any delegated activities on a continuous basis to ensure they are undertaken adequately and meet both the firm’s and the regulator’s needs.
- Ensure that any financial promotions are approved in accordance with FCA rules.
- Ensure adherence to the AML requirements is monitored through routine file checks
- Ensure the firm’s AML procedures are kept up to date
- Review any complaints against the firm and dealing with them in accordance with FCA complaint handling rules.
- Ensure all staff (including new joiners) are aware of the firm’s complaints handling procedures in conjunction with the compliance department.
- Maintain data, records and files.
You should have good Compliance experience from either a similar IFA or else a Product Provider, as well as a good understanding of AML requirements.
NB For the right candidate, this will be a stepping stone into the Director’s role in the medium term. For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge