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.