Compliance Manager - Wealth Management
Are you looking to take the next step in your career within financial services? If so, a leading Wealth Management firm are looking to take on an experienced Compliance Manager to join their team as soon as possible.
Your duites will include:
Reporting directly to the compliance officer/Board (depending on whether the candidate is to hold the Compliance Oversight function).
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.
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).
13. 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.
If you feel you meet the requirements then apply with your CV asap!
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