Compliance Manager – to £70,000 – City of London based

Compliance Manager – to £70,000 – City of London based
We are very pleased to be working with this very well established and growing IFA practice who wish to appoint a key role within the firm.
The key requirement for this role is that the person must have worked within an IFA practice either currently or in a previous role for at least three years and ideally have at least five years compliance experience. The are also seeking a candidate who is Diploma qualified and progressing further with qualifications.
The key responsibilities in this role are:
• Dealing directly with the regulator
• Have the interpersonal skills required to deal and work co-operatively with the firm’s clients, advisers and staff and work on your own initiative
• Maintain compliance manuals and keep up to date with regulatory developments
• Handling complaints
• Assist with notifications to the regulator and handle MiFID reporting
• Undertake file checks and ensuring remedial work is completed
• Maintain competency testing for the firm’s RIs
• Providing technical support for the firm’s staff when required
• Reporting to the partners on all activities
This is a superb opportunity to take a major role and established your compliance career.

Apply to mail@jamesassociates.co.uk

By sending us your information, you acknowledge that it will be held and processed by James Associates Recruitment Ltd, and you consent to our using your contact information (including your phone number and email address) to process your application and contact you to discuss recruitment opportunities.

James Associates Recruitment Ltd Privacy Policy can be found here.