Compliance Manager - London, United Kingdom - mbf.

mbf.

Verified Company

London, United Kingdom

4 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Our client, a specialist Investments and Pensions based IFA based in Central London are currently seeking an experienced Compliance Manager to join the company.

You will be the sole compliance manager within the business with the responsibility of revampingand bring the existing (outsourced) compliance function in-house.

Main Responsibilities:

Responsible for the management of all Governance, Risk and Compliance policies and procedures.
To monitor any changes in FCA and other regulations, assess their impact and provide guidance on any business change requirements.
To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
Be responsible for conducting Training and Competence supervisor activities in line with agreed Training and Competence Plan.

Experience/Role requirements:

At least 12 months' compliance experience within an IFA environment
Level 4 qualification essential
Strong investments knowledge ideal, along with pensions and protection knowledge
Good knowledge of FCA rules.
Experience of Defined Benefit File checking
Retail Financial Advice, Wealth Management Compliance proficient including Compliance Monitoring.

My client can provide a highly flexible working environment with scope to work remotely along with a highly competitive salary and benefits package.