Compliance Manager

15 May 2017
13 Jun 2017
Contract Type
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.