Compliance Manager - Birmingham, United Kingdom - MERJE Ltd
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 Permissions
- Financial Resources Requirements / Capital Adequacy
- Compliance Procedures
- Senior Management meetings
- Annual Compliance Report (incorporating Anti-Money Laundering)
- Anti-Money Laundering (AML) / NCA reports / JMLSG changes / FATF updates
- File checking (Client file 'advice' records)
- Advice process / file standards & the key elements to robust client records
- Investment Committee, Wraps & Platforms
- Research
- PROD & target market implementation
- Consumer Duty planning & implementation / TCF / Duty of care / Annual reviews
- Training & Competence (T & C) / CPD / Certification
- Recruitment
- Remuneration policy
- Income Drawdown / Structured Products
- Data Security / Business Continuity Plan / Business resilience / Recordkeeping
- Fit & Proper declarations
- Complaints / DISP
- Financial promotions
Key Requirements:
- Strong Compliance management experience within the Wealth Management industry.
- Qualified to QCF Level 4 or equivalent as a minimum.
- If you would like this job advertisement in an alternative format, please contact MERJE directly._
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