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 email@example.com
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