Compliance Manager

Blakemore Recruitment; London; On-site; GBP 50,000 - 70,000; Full time

Job summary

Une entreprise de planification financière à Londres recrute un Compliance Manager pour gérer les politiques de conformité et surveiller les évolutions réglementaires. Idéalement, le candidat aura un diplôme de niveau 4 en planification financière et au moins 12 mois d'expérience en conformité. Des connaissances en investissements, pensions et protection sont souhaitables.

Qualifications

• Au moins 12 mois d'expérience en conformité dans un IFA.
• Connaissance approfondie des règles FCA.
• Expérience en vérification des dossiers de prestations définies.

Responsibilities

• Gérer toutes les politiques et procédures de gouvernance, de risque et de conformité.
• Fournir une expertise en conformité à l'entreprise et à ses employés.
• Examiner les fichiers clients pour confirmer leur conformité.

Skills

Conformité

Analyse

Attention aux détails

Education

Level 4 Diploma in Financial Planning

Job description

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We are currently recruiting for a Financial Planning practice in London who are looking to recruit a Compliance Manager to join their team. They are looking for someone who has the Level 4 Diploma within Financial Planning also DB Qualified to do file checking and keep process up to date.

Role Description:

The main responsibilities and duties of this position include but will not be limited to:-

• Responsible for the management of all Governance, Risk and Compliance policies and procedures.
• Provide Compliance subject matter expertise and support to the firm and its employees.
• To monitor any changes in FCA and other regulations, assess their impact and provide guidance on any business change requirements.
• To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
• Be responsible for conducting Training and Competence supervisor activities in line with agreed Training and Competence Plan.

Experience/Role requirements

• At least 12 months’ compliance experience within an IFA
• Strong investments knowledge ideal, along with pensions and protection knowledge
• Good knowledge of FCA rules.
• Experience of Defined Benefit File checking
• Retail Financial Advice, Wealth Management Compliance proficient including Compliance Monitoring.
• Analytical thinking, attention to detail, ability to work under the pressure of strict deadlines are crucial.