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