Job Information

Our Client a National Firm of Financial Advisors requires:


Group Compliance Manager


Diploma level 4 a requirement and AF3/G60 (or willingness to study towards) desirable


This job is based at the Groups Office in London however travel would be required to regional meetings etc.


Key Responsibilities:
• Deal with clients complaints in line with the firms Compliance procedures
• Maintain and manage the firms Complaint Register
• Review client files as directed by the Head of Group compliance and provide feedback to advisers in line with the firms procedures
• Monitor the outputs from external file review companies and report findings to Group Operations Director and others as directed.
• Maintain all Registers with the firm(s) as required
• Maintain the firms Document library and associated Adviser Portal to ensure the availability of complaint documents to the adviser force
• Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Services Authority
• Contribute to the content and maintenance of the Business Practices Manual
• To support the Head of Group Compliance to organise and plan a programme of supervision for Financial Advisers, focussing on individual and business risk this is in line with the firms T&C Scheme Manual and the requirements of the FSA
• To work to the standards agreed with the Head of Group Compliance to ensure the highest standard of compliant business practice when discharging the responsibilities of the role.
• To complete relevant monitoring activities and to gather sufficient facts (MI) and information to be able to make relevant and suitable recommendations that address perceived areas of regulatory risk
• Engage in personal continuous professional development (CPD) activity and maintain records to the required standard
• To attend Financial Adviser meetings/conferences/team meetings as required exchanging views on industry and other relevant issues in line with internal procedures
• To report material breaches to the Head of Group Compliance and maintain the Breaches Register
• To maintain an up to date knowledge of various rule books, regulations and codes relevant to the firm.
• To support line management in the supervision of Financial Advisers by satisfactorily completing Client File Checks, Observed Meetings, One to One Development Meetings for a panel of advisers, provide coaching, feedback and training as appropriate in order to maintain and develop adviser competence.