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Are you looking for your next opportunity within Financial Services and keen to join a forward thinking international expanding Company?
Our client is now looking to recruit an experienced Compliance Manager who can accomplish compliance business objectives by providing value added results and integrating regulatory objectives with other business units. The successful candidate will have specific experience at IFA level including CF10 accountability as well as being fully FPC qualified (or equivalent) with an extensive knowledge of regulatory procedures. Exceptional skills in people and quality management are essential.
Reporting to our Operations Director, the role will be responsible for the operation of our UK regulated wealth management business and the proposed launch of our discretionary fund management business next year. Specific responsibilities include, but not limited to, reviewing the compliance and T&C plan throughout the group; manage complaints handling as per FCA DISP Rules; conduct monitoring inspection visits and completing sales observations for all regulated Advisors, and submitting the quarterly / half yearly regulatory reports to the FCA, amongst others. The successful candidate will be required to report to the Board quarterly as well as attending Board Meetings where necessary.
This role will be based in the company's Head Office.
This is a permanent part time position (there may be scope long term for this to become full time) ideally 4 days per week and will have management responsibility for a part time Compliance Officer.
Benefits on Offer: Very good
Additional Resources Ltd is an Employment Business and an Employment Agency as defined within The Conduct of Employment Agencies & Employment Businesses Regulations 2003