Compliance Manager

SLM Search & Selection
London, South East England
15 Jun 2017
15 Jul 2017
Contract Type
Full Time

Our Client a leading Wealth Management business, needs a competent CF11 Compliance Manager to be responsible for the company's regulatory function. Reporting directly to the Managing Director, you will be able

  • To manage the firm’s relationship with the regulator
  • To ensure compliance with the legal & regulatory requirements by the firm
  • To act as Supervisor for the Firm
  • To act as Money Laundering Reporting Officer for the Firm
  • To act as a member of the Management Committee

The Successful candidate will possess the following

  • Strong interpersonal skills and the ability to interact with clients and colleagues in a professional and courteous manner at all times.
  • Excellent written and verbal communication skills.
  • Ability to work as part of a team as well as on your own initiative.
  • Ability to critically evaluate information, probe and challenge facts.
  • Ability to recognise potential problems and proactively look for solutions.
  • A flexible and adaptable attitude towards work.
  • Excellent time management, ability to work to set deadlines.
  • Ability to work accurately and in accordance with procedures.
  • Intermediate level knowledge of Microsoft Excel.
  • Basic level knowledge of Microsoft Word and Outlook
  • Previous experience as a Compliance Manager within an IFA firm
  • CII Diploma in Financial Planning or equivalent
  • CII AF3 exam or recent equivalent (not CII G60)
  • CII R08 exam or equivalent