* Chartered financial planning firm
* Retail Financial Services Compliance and T&C experience required
* Hybrid working
Fram Search are working on an exciting opportunity for a Compliance Manager to join a Chartered financial planning firm in West Sussex. Our client is committed to providing holistic financial planning and advice to individuals, households, trustees, and businesses. Reporting directly to the Head of Compliance, the successful candidate will play a crucial role in ensuring the firm operates in accordance with the requirements of the FCA Handbook and adheres to the Conduct Rules. The role will cover an office in West Sussex and once a week or fortnight in Dorset, with the occasional travel to other locations. Key Responsibilities:
1. Support the Head of Compliance in ensuring adherence to all relevant regulations and legislation.
2. Maintain detailed and accurate compliance records, reporting any identified compliance issues.
3. Assist in monitoring and conducting compliance checks on advice provided by the firm's Financial Planners and Appointed Representatives.
4. Monitor the firm's compliance with the Financial Services and Markets Act 2000, FCA Statements of Principle & Code of Practice, and relevant FCA rules.
5. Implement and uphold Consumer Duty, ensuring the interests of customers are considered, and they are treated fairly.
6. Review and assess advice provided by Financial...