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Compliance Manager

  • Salary: £50000 - £60000 per annum + benefits package
  • Location: Cheshire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    24 Sep 2018
  • Job reference: 31635

My client is a well-established and successful IFA practice in South Manchester/Cheshire and they are looking for an experienced Compliance Manager to join their team.

The successful candidate will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.

THE ROLE:

  • Keep up to date with and understand, relevant laws and regulations
  • Monitor compliance with laws, regulations and internal policies
  • Ensure that your findings are recorded and followed up with management so that issues can be rectified
  • Educate employees on not only the regulations but also the impact to the organisation if these are not complied with
  • Investigate irregularities and non-compliance issues
  • Report back to business functions on current risk and compliance performance
  • Highlight or escalate areas of concern
  • Contribute to robust and effective compliance controls within the organisation
  • Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
  • Assist in the gathering of internal information in response to regulatory requests
  • Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects and processes)
  • Collaborate with other departments to create a culture of compliance
  • Conduct annual staff training - Financial crime/anti money laundering etc.
  • Maintain T&C records for all Advisers
  • Conduct regular T&C 121 meetings with Advisers
  • Complete and submit GABRIEL report in conjunction with Accounts Manager
  • Complete and submit PI Insurance renewal in conjunction with the Accounts Manager
  • Annual fit and proper questionnaires
  • Annual FCA staff declarations
  • Complete all new business file checks
  • Work with Technical Manager to ensure all processes are kept up to date and enforced
  • Ensure annual Adviser testing in completed
  • Have experience of pre-approval authorisations
  • AF3 desirable, must have experience of occupational pension schemes
  • IFA experience essential


The company offer a competitive salary and an excellent benefits package.


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