Job Details
Group Compliance Manager
Sector:Financial Services
Region : Greater London
Location: London
Salary: Salary plus Benefits
Job Ref.: CL2901USMHF
Job Information
Our client a firm of Wealth Managers and Financial Advisors requires a Group Compliance Manager to join the team in london.ger to join the Team in London
Group Compliance Manager
Diploma level 4 and AF3/G60 is a requirement
This job is based at the Groups Head Office in London
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
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, Provide coaching, feedback and training as appropriate in order to maintain and develop adviser competence.