THE COMPANY
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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