Group Compliance Manager, London (JR-625)
This boutique directly authorised financial planning business has a rare opportunity for a Senior Compliance Manager to join the business. Based in London, they specialise in the provision of financial advice to both private and corporate clients.
The range of services provided include investment planning and portfolio management, pre-and post retirement planning, IHT planning, protection, corporate financial planning and employee benefits.
This award-winning, fee-based business is well established and financially stable. They seek a Senior Compliance Manager to oversee all aspects of the Groups compliance matters.
- Acting as the Group’s Money Laundering Reporting Officer and holding the CF11 controlled function
- Preparation of relevant management information in order that the Board can appropriately identify risks to the business
- Preparation of the ICAAP and monitoring of financial resources
- Preparation and implementation of a comprehensive compliance monitoring programme to monitor the Group’s adherence to the FCA rule book and guidance along with other regulatory matters
- Assist with the implementation of the requirements of the General Data Protection Regulation
- Ensure that the Group is compliant with new rules and regulation, such as MiFID II
- Monitoring the Group’s appointed representatives
- Be prepared to travel to other offices within the group on a regular basis as required Completing internal file monitoring and overseeing the completion of any resulting remedial actions
- Overseeing and monitoring client money and assets activities
- Overseeing the completion of GABRIEL reporting (to be completed by external source)
- Overseeing and completing all other necessary regulator reporting and notifications including approved persons and change in control
- Implementing the Group’s training and competence procedure and supervising adviser and discretionary managers in accordance with FCA’s training and competence requirements.
- Providing training to staff as required on anti-money laundering requirements, complaints and any other regulatory matters as required
- Reviewing and approving the Group’s financial promotions
- Investigating and responding to complaints with oversight by the Board/compliance officer including liaising with the Financial Ombudsman Service
- Drafting and reviewing compliance procedures and disclosure documents, processes and templates as required
- Maintaining the Firm’s compliance registers
- Liaising with the FCA on all regulatory matters
- Liaising with the Group’s compliance consultants
- At least 5 years’ industry experience, 2 of which in a senior compliance manager position
- Hold the CF11 controlled function
- Have the level 4 qualification and a strong technical knowledge of Financial Services regulations, including FCA handbook, Rules and Guidance including Conduct of Business, Anti Money Laundering, Training & Competence, Client Money, Training & Competence and Supervision.
- Knowledge of the FCA CASS rule book and regulations
- Excellent communicator with ability to prioritise
- Death in Service (DIS)