Compliance Manager recruitment
A leading IFA is looking for a Compliance Manager to lead their Compliance function. The role reports directly in to a Managing Director and be responsible for Compliance and Anti-Money Laundering across the business.
Your responsibilities will be:
• Managing the firm’s relationship with regulators
• Completing quarterly GABRIEL returns and six-monthly RMAR returns to the FSA
• Maintaining Complaints file and any rule breach on the register
• Producing monthly Compliance report to the Board
• Providing references for former advisers
• Dealing with complaints against advisers and the firm
• Ensuring the business is compliant with all money laundering regulations
• Establishing the Anti-Money Laundering procedures, reviewing them on a regular basis
• Ensuring all advisers and staff are properly trained in relation to money laundering regulations
• Checking files remain in line with the TC Scheme requirements
• Providing annual Anti-Money Laundering report to the Board
• Renewing and negotiating PI terms, ensuring adequate cover is in place
You will have previous experience of working in the Compliance function of an established IFA. You will be Level 4 qualified in the relation to the RDR requirements. You will also posses a solid understanding of technical, investment, compliance, pension and insurance issues as well as knowledge of an advisory role within wealth management. This is an excellent opportunity to take ownership of the firms Compliance department and have significant input on the direction and success of the business.
To discuss this opportunity and other within Compliance please contact Sam Pendlebury on 02031453380 or at sam.pendlebury@bruinfinancial.com.