Compliance Manager
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.
Related Articles
Compliance Manager - Tyne and Wear
Job Description: A highly respected Financial Advisory firm is looking for a Compliance Manager to join the business. This exciting new role has been
Compliance Manager - West Dunbartonshire
Position Title: Compliance Manager £30,000 per annum Permanent, Full Time Location: Dumbarton Key Contacts: Head of Compliance and Risk, Managing & Te
Compliance Manager - Somerset
Compliance Manager Our Governance Risk and Compliance function are looking for a Compliance Assurance Manger to join their team. Operating as part of
Quality & Compliance Manager
JOB PURPOSE: As the Quality & Compliance Manager you will be required to ensure that the company is following ethical and legal requirements. Ensuring
Quality & Compliance Manager - Hertfordshire
Quality & Compliance Manager opportunity for my Client's national organisaton specialising in services for adults with learning disabilities and compl
Compliance Manager - London
RSR is a public safety & enterprise security recruitment specialist. We assist public safety employers to find the right talent. We assist all employe
Senior Compliance Manager
Exciting opportunity to work for a consultancy firm covering their Insurance sector with a fast track to Director level. Please reach out for more inf
LAB Risk and Compliance Manager
WHAT YOU'LL DO This position acts as an ambassador for BCG on compliance standards and risk management within the London, Amsterdam & Brussels (L-A-B)
Regulatory Compliance Advisory Manager
We are AMS. We are a global total workforce solutions firm; we enable organisations to thrive in an age of constant change by building, re-shaping, an
You may also like
Mitsubishi Outlander 2.2DI-D Juro 4WD Estate
Presented in the quintessential "Amethyst Black" with Black leather trim, this low mileage, rugged 4WD has been well kept and perfectly maintained by
2020 Volkswagen Polo 1.0 TSI 95 Beats 5dr Hatchback petrol Manual
Bluetooth,Alloy Wheels,Climate Control,CD Player,Part Leather Seats,AUX/USB,Privacy Glass,Automatic Lights,DAB,Android Auto,Apple Car Play,Heated Rear
2014 14 MERCEDES-BENZ C-CLASS 2.1 C220 CDI BLUEEFFICIENCY EXECUTIVE SE 2D 168 BH
GREAT EXAMPLE C220 EXECUTIVE COUPE AUTOMATIC GEARBOX BLUETOOTH CONNECTIVITY CARED FOR BY TWO FORMER KEEPERS HPI CLEAR . This vehicle is offered to you