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Compliance Manager

Vacancy Title: Compliance Manager
Contract Type: Permanent
Location: Tunbridge Wells, Kent
Industry:
Salary: Up to £65000.00 per annum
Start Date: asap
REF: BBBH5414_1548866925
Contact Name: Financial Services
Contact Email: chloe.emmerson@dynamiterecruitment.com
Vacancy Published: 24 days ago

Vacancy Description



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.