IFA Compliance Manager

Search Consultancy
11 Jan 2018
16 Feb 2018
Contract Type
Full Time

We are representing an award winning IFA advisory business who is seeking to appoint an experienced Senior Level Compliance Manager at an exciting time of growth for the business.

The key duties of the compliance manager are:

* Reporting directly to the Board you will be acting as the Group's Money Laundering Reporting Officer and holding the CF11 controlled function.
* Preparation of relevant management information in order that the Board can appropriately identify risks to the business
* Preparation of the ICAAP and monitoring of financial resources
* Preparation and implementation of a comprehensive compliance monitoring programme to monitor the Group's adherence to the FCA rule book and guidance along with other regulatory matters
* Assist with the implementation of the requirements of the General Data Protection Regulation
* Ensure that the Group is compliant with new rules and regulation, such as MiFID II and the Senior Manager's regime.
* Monitoring the Group's appointed representatives
* Be prepared to travel to other offices within the group on a regular basis as required
* Completing internal file monitoring and overseeing the completion of any resulting remedial actions
* Overseeing and monitoring client money and assets activities
* Overseeing the completion of GABRIEL reporting (to be completed by Hacker Young).
* Overseeing and completing all other necessary regulator reporting and notifications including approved persons and change in control
* Implementing the Group's training and competence procedure and supervising adviser and discretionary managers in accordance with FCA's training and competence requirements.
* Providing training to staff as required on anti-money laundering requirements, complaints and any other regulatory matters as required
* Reviewing and approving the Group's financial promotions
* Investigating and responding to complaints with oversight by the Board/compliance officer including liaising with the Financial Ombudsman Service
* Drafting and reviewing compliance procedures and disclosure documents, processes and templates as required.
* Maintaining the Firm's compliance registers
* Liaising with the FCA on all regulatory matters
* Liaising with the Group's compliance consultants

The client is offering a highly competitive basic salary and benefits package and is keen to see candidate who can demonstrate a good understanding of the IFA/Wealth Management market.

For more information please contact Nick Tagg on

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.