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Compliance Manager

Job description

We are working closely with a growing financial planning firm in Devon looking to hire a second line compliance manager on a part time, remote basis.

Part time will consist of 3-4 days a week.

Your role is to assist in the responsibility of oversight of the firms compliance and reporting to the FCA in respect of that responsibility.

Duties will include but will not be limited to:

  • Performance of post-sale case checking
  • Proficient in interpreting regulatory requirements and guidance in order to implement appropriate control mechanisms, procedures and processes to meet the group's regulatory requirements
  • Under the direction of the CFO, liaising with the FCA on regulatory issues and assimilating and implementing regulatory requirements in a timely manner and within imposed deadlines
  • To maintain and carry out regularly (quarter or half yearly) checks of all registers to include; new business, complaints, known rule breach, Execution only, lapsed/NTU/cancelled/discontinued, money laundering, returned client asset, pension transfers and opt out and commission
  • To ensure all certifications are completely on a timely basis, including fit and proper declarations, credit checks and CRB checks are completed
  • To ensure that training is being carried out annually with all staff on money laundering and data protection act requirements, and evidenced
  • Production of the annual anti-money laundering report for the group

Benefits include:

  • 5% company performance bonus
  • Remote working
  • Continued professional development
  • Exam support
  • Flexible benefits
  • x4 DIS
  • 25 days holiday increasing by 1 day every 2 years up to 30 days.

For more information on the company and opportunity please click apply!

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