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