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Compliance Manager – IFA or Life & Pensions Provider Experience Required

£45K - £55K + Generous Benefits | Newcastle
Ref: 3391R2

UK & Ireland / Anti Money Laundering (inc CDD/KYC) / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our Client, a leading IFA, is looking for a Compliance Manager to join their team. Reporting to the Compliance Director, the main duties include the following: 
  • Ensure the firm has adopted a risk based approach to compliance monitoring
  • Review any delegated activities on a continuous basis to ensure they are undertaken adequately and meet both the firm’s and the regulator’s needs.
  • Ensure that any financial promotions are approved in accordance with FCA rules.
  • Ensure adherence to the AML requirements is monitored through routine file checks
  • Ensure the firm’s AML procedures are kept up to date
  • Review any complaints against the firm and dealing with them in accordance with FCA complaint handling rules.
  • Ensure all staff (including new joiners) are aware of the firm’s complaints handling procedures in conjunction with the compliance department.
  • Maintain data, records and files.
You should have good Compliance experience from either a similar IFA or else a Product Provider, as well as a good understanding of AML requirements.
NB For the right candidate, this will be a stepping stone into the Director’s role in the medium term. 
 
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at dcrook@compliancerecruitment.com
 

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