⭐️ Certification & Compliance Lead
📍 Home Based
💰 Competitive Salary
Our client is a leading wealth management firm who are seeking a motivated professional to take ownership of their Certification Regime responsibilities under the FCA’s Senior Managers & Certification Regime (SMCR). This role plays a vital part in ensuring that all certified staff remain fit and proper to perform their roles, and that their regulatory obligations are delivered to the highest standards.
Role & Responsibilities: 📋
* Coordinating the checks and assessments that confirm colleagues are “fit and proper” to carry out their roles.
* Guiding managers and staff so they understand their responsibilities under the regime.
* Keeping accurate records and reporting to show we’re doing things properly.
* Spotting and dealing with any issues that could affect certification.
* Working with various teams to weave certification into everyday processes like recruitment, training and performance reviews.
* Looking for ways to make our processes smoother and more effective.
Do you have the following to apply? ✅
* Diploma in Regulated Financial Planning (or equivalent).
* Strong understanding of SMCR, the FCA Handbook and compliance expectations
* Previous Compliance experience within a wealth management/IFA company.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.