Financial Services Compliance Team Manager

Centrepoint Recruitment
31 Mar 2018
13 May 2018
Contract Type
Full Time
Financial Services Compliance Manager - Gatwick - up to £37,000

We are currently working with an established independent Financial Services company who are going through a period of growth and are actively seeking an experienced Compliance Team Manager to join their team.

Working closely with the Director and managing a team of 12 you will need to be able to perform well under pressure to ensure demands and deadlines are met.

Taking responsibility for assisting in the development and implementation of the ongoing compliance program to meet regulatory requirements. This will include policy development, training, monitoring, risk assessment and advising the business on compliance issues.

Compliance checking all pre-sale, high risk advise such as pension switches through to
investment policies.

Required qualifications and skills
• At least diploma qualified with CII
• Minimum 5 year’s experience in financial services
• Good technical experience
• Experienced Paraplanner or a very thorough understanding of:
Both simple and complex financial products (defined benefit pension schemes, structured products)
Be aware of the difference between client circumstances and client objectives and different types of objectives (immediate and long term, financial and non-financial)
How to make recommendations for financial objectives
What’s involved in collating client information, preparing suitability reports, preparing illustrations and reports for client meetings, managing cases to completion and working with internal processing systems and the preparing and updating of valuations, investments and pensions for client meetings
Experience in the review of code of ethics related compliance matters (i.e. personal account dealing, outside business interests, and gifts, benefits and entertainment)

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