Senior Compliance Manager CF10 and CF11 preferably

13 Apr 2019
14 May 2019
Contract Type
Full Time

My client a leading Financial Services Wealth Planning Practice is looking to recruit a Senior Compliance Manager with CF10 and CF11 qualification to join their team. Responsible for all areas of Compliance and regulation within the business, the successful applicant must be able to hit the ground running and will be responsible for the following:-

For the job spec these are the key areas that would need to be covered.

Develop our compliance and draft and amend existing compliance policies and procedures.

Implement and develop Company T&C plan

Arranging, carrying out and checking the training and competence for compliance with the relevant regulatory requirements in relation to registered individuals including conducting T&C 'one to ones’ and agreeing annual training plans.

Liaising with external compliance consultants when applicable

File checks

Work with new advisers to ensure competent

Assist Operations Manager with recruitment of advisers

Provide necessary training for staff

Undertake supervisor role for all advisers

Preparing compliance reports for board

Maintenance of compliance registers and documents

Assisting with the completion of regulatory returns

This is a fabulous opportunity for a highly skilled Compliance Professional who can effectively run the compliance area. The salary is commensurate with exposure and is a full recognition of the candidate skill set along with incredible bonus and benefits.

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