Compliance Manager

Recruiter
Huntswood
Location
London
Salary
60000.0000
Posted
15 May 2017
Closes
13 Jun 2017
Contract Type
Permanent
Hours
Full Time

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.