This is an excellent opportunity to join a reputable firm which was set up in 2013 and continues to enjoy year on year growth. They are looking for someone who has a strong track record of managing Regulatory requirements within a Wealth environment and is excited to be a part of their growth plan.
The objective of this role is to manage regulatory requirements, identify and manage business risks and the implementation of compliance 'best practice'.
Producing an annual compliance report
Making all appropriate notifications to regulators
Managing Approved Persons Controlled Functions including: commencement, withdrawal and amendments
Communicating compliance developments that have a direct impact on the Financial Planning team.
Managing relationships with Discretionary Fund Managers and relevant third parties.
Managing projects to implement updates to business procedures impacted by regulatory change
Adopting a risk-based approach to compliance monitoring
Undertaking member file reviews to review adherence to company advice procedures.
Reviewing any complaints against the business in accordance with complaints handling procedures
Submitting complaints notifications accurately to the regulators.
Approving financial promotions in accordance with the regulators' rules;
Updating and maintaining the Training and Competence Procedures of the business.
Producing an annual Money Laundering Report
Perform routine file checks to ensure Money Laundering requirements have been met;
Relevant generalist Compliance experience gained within a Wealth, Financial Planning or Advisory business
Knowledge of FCA Handbook and Rules
Excellent verbal and written skills
Strong attention to detail and inquisitive nature;
Strong interpersonal skills – engagement with a variety of stakeholders across the business
Strong oral and written communication
Maintaining Continuous Professional Development to meet personal development needs;
Promoting the profile of the company within our profession and with trusted partners; and
Demonstrating behaviours which set the culture of the company.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.