Our client, an established wealth manager, has an immediate opening for a Compliance Manager to join the business.
The Compliance Manager will be responsible for a range of activities that ensures the business remains compliant with Financial Conduct Authority (FCA) regulation.
This will include;
- Monitoring of new and existing client accounts to ensure suitability of investment advice and accuracy of documentation
- Verification of new clients and regular monitoring of identified Politically Exposed Persons (PEP's) and high risk clients
- Provision of on-going regulatory advice regarding current and approaching regulation affecting the business including on-going maintenance of the compliance policy and manual
- Completion of the risk based compliance monitoring program
- FCA liaison including completion of regulatory requests/returns, approved persons registrations and thematic reviews
- Development and delivery of compliance training across the business
The successful applicant will demonstrate the following skills and experience;
- In-depth knowledge of FCA regulatory requirements, with a focus on wealth management regulation
- Experience of managing regulatory compliance within a wealth management business
- Strong working knowledge of MiFID II
- Compliance qualification i.e. CISI/ICA
If you demonstrate the required skills and experience and wish to learn more about this position then please apply now.