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.