Job Information

Our Client is an established, Boutique style firm of Independent Financial Advisers based in a beautiful location of the City of London. Led by professionally qualified team, they provide comprehensive Corporate & Personal Financial Planning that includes; Investment & Wealth Management, Tax Planning, Business Injury & Business Protection.

This is a great role for a motivated and confident individual who has a passion for the Financial Services sector; you should also be driven and assured with your internal and external communications, strong relationship building abilities and a keen interest in compliance.

As Compliance Manager you will be supporting the compliance function for the Group Companies, in accordance with FCA rules and other regulators, Investigate irregularities and non-compliance issues; whilst performing various general administrative duties (such as file creation and maintenance of ongoing administrative projects & processes).

Daily duties will consist of;
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
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
Complete all New Business file checks
Conduct annual staff training - Financial Crime / Anti Money Laundering etc
Complete and submit PI Insurance renewal in conjunction with the Accounts Manager

The successful candidate will need to have previous experience working as a Compliance Manager within an IFA environment with should also offer knowledge of pre-approval authorisations/ pension schemes.