Exclusive - Compliance Manager - Fully Remote - Harrow On The Hill, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

Harrow On The Hill, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

We are exclusively recruiting for an expanding IFA based in North West London are looking to hire a Compliance Manager to assist the Compliance Officer in providing regulatory advice and guidance to two separate businesses and ensuring all FCA regulatoryrequirements are adhered too.

Main Responsibilities

Maintaining and enhancing compliance policies and procedures
Contribute to the development of the Compliance Monitoring Programme
Advising the business on current and forthcoming FCA regulatory requirements
Ensure regulatory and compliance risks are managed accordingly, including SMCR
Assist in the planning and provision of training for staff in line with current and future regulatory requirements

Job Requirements:

At least 3 years relevant compliance experience from a financial services or consultancy environment, preferably with hand on knowledge of Pensions/SIPPS
Knowledge of relevant FCA rules, particularly COCON, SYSC & DISP required
Excellent interpersonal skills.
Good communicator, comfortable dealing with all levels of staff

LI-DR1