Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.
THE RESPONSIBILITIES:
Manage a geographically dispersed team of compliance professionals, fostering consistent standards and collaborative working practices across the UK
Collate and analyse compliance MI for reporting to the Head of Compliance Advisory and escalation to relevant committees and governance forums and when required represent the Head of Compliance Advisory
Lead the operational implementation and continuous oversight of Consumer Duty, ensuring adherence to the FCA’s expectation and demonstrable delivery of good outcomes for clients
Ensure AML frameworks are up to date, effective and followed across the firm; support AML training, suspicious activity reviews and policy adherence
Financial Promotions sign off: supporting the auditable system ensure clear fair and not misleading communications are reviewed and approved on a timely basis
Compliance Monitoring Plan (CMP): Ownership and execution of CMP to ensure regulatory coverage and risk mitigation across all business areas.
EXPERIENCE REQUIRED:
Candidates MUST have ‘Level 4 CII Diploma in Regulated Financial Planning’
Minimum 3 to 5+ years in a senior compliance role within a regulated financial planning or wealth management firm.
Proven experience leading a small to medium compliance team across multiple locations
Strong generalist knowledge of the FCA Handbook, particularly COBS, SYSC and PRIN (including Consumer Duty).
Familiarity with Connect, RegData, AML controls and conduct risk
For further information please contact Duncan Jeffery
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