PART TIME COMPLIANCE MANAGER - IFA PRACTICE
3- 4 DAYS FLEXIBLE ON HOURS !!!!
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 wants 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
Dynamite Recruitment Solutions Ltd is acting as an Employment Agency in relation to this vacancy.