Job Details

Compliance Manager CF11 AF3

Sector:Financial Services

Region : Greater London

Location: EC2N 2AT

Salary: Salary is neg plus benefits

Job Ref.: CL2605DH

Job Information

Our client is a leading Wealth Management firm and IFA seeking to recruit an experienced Compliance Reporting Officer for their City based offices

Essential

• Ability to critically evaluate information, probe and challenge facts.
• Ability to recognise potential problems and proactively look for solutions.
• A flexible and adaptable attitude towards work.
• Excellent time management, ability to work to set deadlines.
• Ability to work accurately and in accordance with procedures.
• Intermediate level knowledge of Microsoft Excel.
• Basic level knowledge of Microsoft Word and Outlook
• Previous experience as a Compliance Manager within an IFA firm
• CII Diploma in Financial Planning or equivalent
• CII AF3 exam or recent equivalent (not CII G60)
• CII R08 exam or equivalent

Desirable

• Working knowledge of Swift software
• Previous experience as a financial adviser
• Previous experience as a T&C supervisor
• Previous experience as a MLRO / CF11
• Knowledge of undertaking and negotiating a PI renewal
• Compliance or supervision qualification

Responsibilities

• To manage the firm’s relationship with the regulator

• Complete quarterly GABRIEL returns to FCA
• Complete six-monthly RMAR returns to FCA
• Ensure regulatory fees are paid promptly via FCA online invoicing
• Provide figures to FCA on which the fees are based after liaison with accounts
• Register and de-register advisers with FCA and ensure adviser recruitment records are followed via FCA Connect system
• Apply for Variation/Cancellation of Permissions as required by the Firm
• Maintain records required by the FCA
• Deal with any correspondence and requests from the FCA with reference to the CEO where necessary
• Prepare for visits/reviews with the FCA with reference to the CEO
• Prepare and participate in the Annual Compliance Audit
• To ensure compliance with the legal & regulatory requirements by the firm