We are recruiting for a client that has a opportunity for a Compliance specialist to join a large scale IFA based in Kent.
This opportunity has arisen within the business for a Senior Compliance Manager to join the Senior team. The role reports directly to the CEO and we are looking for someone who want the opportunity to utilise their skills & experience and who will be responsible for ensuring that the business remains FCA/regulatory compliant.
The duties will include (but not limited to):
- To ensure that the companies professional standards and business and best practices are maintained, including ethics and culture
- FCA relationship and liaison
- Keeping up to date with FCA and industry regulations, informing business/Board as necessary
- FCA authorisations, permissions, returns and reporting
- Ensuring all compliance policies/procedures & processes, monitoring program, documentation etc. is updated and in place
- Complaints, relationship with FOS/FSCS, breaches etc.
- Risk assessments and oversight
- Checking of all fact sheets, presentations, financial promotions, marketing materials, weekly correspondence, press articles etc.
- Oversight of legal agreements, contracts, client agreements, terms & conditions etc.
- Business continuity planning
- ICAAP/capital adequacy / risk register
- Staff compliance training and education
- Compliance reports for MI and Board
- Attendance at monthly Investment Committee Meetings
The candidate must have excellent people and communication skills and ability to operate at all levels. Be ethical and principled and be able to work independently. They must also be diligent and can stay on top of constantly changing regulations and the ability to analyse and interpret information.
You will be expected to have previously worked within a Financial environment and be FCA authorised in CF10 & CF11 (SMF 16 & 17). Previous experience of overseeing legal agreements, contracts, client agreements, terms & conditions etc is desirable.
You will need to have relevant Financial qualifications and have worked in a similar environment.
Please apply on the Dynamite Recruitment website for this role or contact Chloe on 02392 455422
Dynamite Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy.