Compliance Manager

Reed Insurance
11 May 2017
10 Jun 2017
Contract Type
Full Time
My longstanding client located around the Havant area is expanding and is looking for a Compliance Manager to join their existing team of 70+ advisers and work closely alongside the Compliance Manager to ensure the business meets with regulatory requirements.

Over the next year they would like to grow to 100+ advisers, this is due to organic growth, so there is plenty of room for movement and progression.

Key Duties:
-Be a point of contact for compliance related queries.
-Ensure compliance with related legislation, such as Data Protection, Anti-money Laundering Regulations and Bribery Act.
-Assist the Compliance Manager with the implementation of compliance policy
-Discuss any compliance breaches, remedial action and providing advice as required with the management team.
-Follow the Suitability of Advice & Sales procedures for assessing the suitability of advice
-Conduct a review of the Know Your Customer and Suitability Letter/Report
-Deal with the post sale checking list of cases
-Keep electronic records of all pre-approvals/ post sale checks and communications with all parties

Key Skills:

-You must have previous experience within the Financial Services Industry, either in Compliance, Paraplanning or Advising.
-QCF Level 4 Diploma desirable or any regulated Compliance qualifications

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