Compliance Manager - Tyne and Wear
Description : 13 Mar, 2023
Job Description: A highly respected Financial Advisory firm is looking for a Compliance Manager to join the business. This exciting new role has been created to ensure compliance with existing and new regulatory requirements.
The role will involve taking responsibility for the following:
FCA PermissionsFinancial Resources Requirements / Capital AdequacyCompliance ProceduresSenior Management meetingsAnnual Compliance Report (incorporating Anti-Money Laundering)Anti-Money Laundering (AML) / NCA reports / JMLSG changes / FATF updatesFile checking (Client file 'advice' records)Advice process / file standards & the key elements to robust client recordsInvestment Committee, Wraps & Platforms - ResearchPROD & target market implementationConsumer Duty planning & implementation / TCF / Duty of care / Annual reviewsTraining & Competence (T & C) / CPD / CertificationRecruitmentRemuneration policyIncome Drawdown / Structured ProductsData Security / Business Continuity Plan / Business resilience / Record-keepingFit & Proper declarationsComplaints / DISPFinancial promotions Key Requirements:
Strong Compliance management experience within the Wealth Management industry.Qualified to QCF Level 4 or equivalent as a minimum. Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly.
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