Senior Compliance Manager
Our client, a boutique wealth management company, are looking for a Senior Compliance Manager to join their Compliance Department on a permanent basis. The Senior Compliance Manager will be responsible for the Compliance Oversight of the review monitoring programme.
- Responsible for the day to day management of the 'file review' monitoring programme
- Regularly review regulatory requirements, making amendments to the monitoring programme as necessary
- Ensure the file review monitoring programme is aligned to the risk management framework
- Produce management reports for senior management on the file review monitoring program
- Provide key management information on the quality of advice given by the firm, which will enable management to take relevant action to improve outcomes for clients.
- Undertake one on one meetings with Advisors to provide feedback from reviews
- Proven experience in a compliance role, within Wealth Management would be highly advantageous
- Compliance Monitoring experience is essential
- Strong knowledge of pensions (FCA advice and transfer requirements)
- Detailed knowledge of FCA Handbook, particularly COBS
- Professional qualifications (Level 6 chartered or pension transfer)
If you are interested in this Senior Compliance Manager role and possess the required skills and experience, then please submit your CV for consideration.