Audit Design Lead Compliance Monitoring Within An IFA £65,000

Recruiter
FourthLine
Location
London
Salary
60000.0000
Posted
15 Feb 2017
Closes
15 Mar 2017
Contract Type
Permanent
Hours
Full Time

COMPLIANCE AUDIT MANAGER | SURREY OR LONDON BASED | £60-65K

Fourthline are supporting a highly acclaimed financial advisory firm in their search for a Compliance Audit Manager to join their London or Surrey based team. The role will be part of a small team of four, however this role is essentially autonomous and the client is looking for an associate with effective decision making skills and excellent stakeholder relationship building skills.

As a Compliance Audit Manager you will report into the CF10 and must have a strong background in compliance monitoring and have designed and delivered a full Compliance Audit plan.

Some further requirements on a day to day will include:

  • Provide succinct reports to Head of Compliance and board along with presentations.
  • Identify risks within the business in conjunction with the guidelines of the Board and FCA, with supervision of thematic reviews.
  • Oversight of 3rd party provider
  • Financial promotions approval

Essential skills, qualifications and experience:

  • Level 4 Financial services qualification.
  • Previous Experience working in a Compliance team of a financial advisory company.
  • Experience of designing and delivering a full compliance audit plan
  • Strong Knowledge of Investment products (mortgages, pensions, etc.)

If you would be interested in applying, please send through an updated version of your CV in a word document.