Compliance Manager, Devon
Overview of the business:
Clever is thrilled to support this exciting business that continues to grow in size and stature. An Independent IFA with more than 20 Advisers, they specialise in delivering financial planning advice to personal and corporate clients across the UK.
The company works with its clients advising on the full spectrum of products, including Pensions, Investments, Mortgages and Insurance. Building long-term relationships via high service standards with clients is considered a principal objective.
Overall purpose of the role:
Day to day responsibility for the firm’s compliance programme. This position ensures that the Partners of the firm, Management and employees all comply with the rules and regulations of the Financial Conduct Authority, ensuring that company policies, behaviours and procedures are being followed to meet the expected standards of conduct.
Provide guidance for the Partners on all matters relating to compliance
Working with Partners, Senior Managers, Advisers and other personnel
Duties and Responsibilities.
- Oversee all matters relating to Compliance and Ethics to ensure that the firm, its representatives comply in all respects with Financial Conduct Authority regulations
- Ensure that the company complies with legislation relating to the prevention of money laundering, financial crime and fraud, and mitigate risk to the firm
- Develop, initiate, maintain and revise policies and procedures for the general operation of the compliance programme
- Manage the day-to-day operation of the Compliance Department.
- Develop and periodically review and update Standards of Conduct, as well as provide guidance to management and employees.
- Collaborate with other departments on all compliance issues as and when appropriate
- Respond to alleged complaints, breaches of rules, regulations, policies, procedures and Standards of Conduct
- Identify any trends and potential areas of compliance vulnerability and risk, develops/implements corrective action plans for resolution.
- Provide reports on a regular basis to keep the Partners and Senior Management regularly informed of the operation and progress of the compliance department
- Identify and develop effective training programs on compliance matters including training for new employees and ongoing training for employees and management
- Monitor the performance of the compliance programme and related activities on a continuing basis, by taking appropriate steps to improve effectiveness.
For more information or to apply please get in touch 01173 790818