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    Compliance Manager Policy - England, United Kingdom - Oval Recruit

    Oval Recruit
    Oval Recruit England, United Kingdom

    2 weeks ago

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    Compliance Manager – Financial Advisory Group

    A leading local Financial Services Practice with offices located in the heart of Staffordshire are looking to recruit a compliance manager.

    This all encompassing role, will involve the management of all compliance duties, T&C oversight and general practice legal tasks.

    The company pride themselves on the high-quality advice they provide to long standing clients and new clients who come through referrals and recommendations.

    With nine advisors they have a thriving professional practice and are looking for a compliance manager who will complement the business.

    Provide full T&C oversight and management including supervision of advisers, adviser risk assessments, annual fit & proper checks, recertification of staff, KPI appraisals and trainee adviser development plans.

    ~Implement all regulatory change projects, ensuring the practice is aware and trained on all aspects.
    ~Complete file reviews for Advisers, provide feedback when required and ensure high risk advice follows correct protocols and oversight.
    ~Produce quarterly and annual compliance reporting for Director's review. Provide regulatory advice to the investment committee.
    ~Have control of the practice's compliance processes, framework, action plans and regulatory reporting.
    ~Act as the key point of contact for all external compliance enquiries, risk assessments and complaints.
    ~Develop and manage all practice policies and procedures including GDPR, CIP, CRP, conflicts of Interest, governance, LEI renewal etc.
    ~The company feel this role would be suited to a Compliance professional who is comfortable acting on their own initiative and managing the compliance function with a high degree of independence.
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