Compliance Manager

Recruiter
Reed Insurance
Location
Havant
Salary
30000.0000
Posted
11 May 2017
Closes
10 Jun 2017
Contract Type
Permanent
Hours
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

Reed Specialist Recruitment Limited is an employment agency and employment business