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