10Jun
Article by admin
Blakemore Recruitment

Head of Compliance

Published
January 14, 2020
Location
North West London
Job Type
Salary
£85,000 Basic Plus Package

Description

We are currently recruiting for a highly regarded and prestigious financial planning organisation who are looking for a key hire in their business. They require a Compliance Manager to head up the Compliance Function and report directly into the board.  The key functions of this role are:

  • Acting as the Group’s Money Laundering Reporting Officer and holding the CF11 controlled function.
  • 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 matter such as data protection
  • Overseeing and monitoring client money and assets activities
  • Monitoring the Group’s appointed representatives
  • Overseeing the completion of GABRIEL reporting
  • 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
  • Drafting and reviewing compliance procedures and disclosure documents, processes and templates as required.

 

This is a key hire to the group and will involve key responsibilities in dealing with all regulatory requirements. There is a small internal team to manage as well as managing any and all external consultants employed by the firm.

This is an excellent opportunity to join a prestigious, growing business and have a direct influence in it’s future direction.

Apply
Optional Cover Letter
Drop files here browse files ...

Related Jobs

Mortgage Consultant   London City new
April 2, 2020
April 1, 2020
Experienced Paraplanner   Chelmsford - Essex, United Kingdom new
March 31, 2020
Experienced Paraplanner   Central London new
March 30, 2020
Chartered Financial Planner   Home based - clients in London and South-East England new
March 30, 2020
Are you sure you want to delete this file?
/