AFH Wealth Management is proud to be one of the UK's leading independent financial advisory and wealth management firms. This role is based at AFH Wealth Management Bishop's Stortford.
We believe that our success starts with our people. If you are determined to succeed and eager to take on new challenges, you'll find a variety of exciting career opportunities at AFH. This is a full-time, permanent opportunity, with hybrid working, and apetitive salary and range of benefits.
Ourpliance Manager will oversee thepanypliance Processes and Procedures to ensure regulatory obligations as well as Group requirements are met. You will be responsible for maintaining systems and controls to minimise risk and develop staff, while promoting a positive culture within the firm at all times.
As ourpliance Manager, you will be responsible for:
1. Implementing and maintainingpanypliance policy & procedures.
2. Producing and maintaining up to date management information, reporting to the Senior Management Team and highlighting any trends or recurring problems.
3. Ensuring all Training &petency records are up to date and fully reflect the works conducted throughout the year.
4. Conducting file reviews, as well as annual fit & proper checks for IFAs and other regulated staff.
5. Supporting and coordinating training and the delivery of CPD for all relevant staff members.
6. Managing and maintaining allpany Risk Registers.
What we are looking for in our idealpliance Manager:
7. Regulatorypliance Level 4 qualified
8. Strong experience overseeing and delivering apliance Function as well as Training &petency.
9. A demonstrable knowledge of regulatory rules and principles.
10. Experience checking and reporting on IFA files or other regulated work.
11. Ability to work independently and on own initiative.
12. A high level of accuracy and attention to detail.
Benefits and Perks at AFH
13. Flexible working & holidays - Enjoy flexible working andpetitive holiday allowance, with annual buy & sell scheme options and your birthday off. Plus, additional holiday days for long service.
14. Social perks - To recognise and celebrate employees' great work we are all invited to our annual Christmas and Summer parties.
15. Pension - We offer a contributory pension scheme as well as death-in-service benefit.
16. Professional development - We aremitted to helping you reach your potential by offering tailored learning and development programmes to pursue your career goals.
Apply today to register your interest in joining our team. Job ID 724344