Compliance Manager - IFA
Due to continued success in providing fee based advice to HNW clients, this successful IFA practice requires a professional and proactive Compliance Manager to provide a compliance function to the IFAs and Paraplanners.
Deliver the agreed strategy and procedural objectives regarding compliance standards and technical competence and to take responsibility for the management of individuals within this remit.
The successful candidate will have in depth knowledge and understanding of the Financial Planning process; have experience in a senior compliance role.
Duties for this role will include:
- Maintain positive relations with the FCA
- Monitor and interpret regulatory and data protection changes
- Maintain policy statements and incorporate regulatory change where appropriate
- Deliver regular staff updates and training
- Complete Gabriel returns
- Monthly report to the board
- Manage, maintain and give effect to the Compliance Monitoring Programme
- Continually monitor and improve service and compliance procedures
- Identify training programme for Consultants to maintain areas of authorisation
- Ensure CPD, SPS, T&C scheme delivered
- Maintain and report on KPI’s
- Observe client meetings
This is an excellent role within a forward thinking and innovative firm who are continually looking to improve and develop the services which they offer to their clients. In return, you will receive a generous basic package and the support to develop your skills and further your career.