Senior Compliance Manager CF10 and CF11 preferably
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
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.