Compliance Manager - Financial services
Our client, a successful financial planning and management consultancy, is seeking an experienced Compliance Manager to join their team based in London.
This is an exciting and challenging opportunity where you will be working as a part of a dynamic and forward thinking team with opportunities to progress and make your mark within this established organisation.
The successful candidate will be reporting directly to the Board and will be acting as the firm's Money Laundering Reporting Officer. It's important that the candidates have previous experience in CF11 Money laundering reporting.
- Ensure that the company is compliant with new rules and regulation, such as MiFID II
- Preparation of relevant management information in order that the company can appropriately identify risks to the business
- Overseeing and completing all the necessary regulator reporting and notifications
- Overseeing and monitoring client money and assets activities
- Overseeing the completion of GABRIEL reporting
- Implementing the Group's training and competence procedure and supervising adviser and discretionary managers in accordance with FCA's training and competence requirements
- Providing training to staff as required on anti-money laundering requirements, complaints and any other regulatory matters as required
- Investigating and responding to complaints with oversight by the Board/compliance officer including liaising with the Financial Ombudsman Service
- Drafting and reviewing compliance procedures and disclosure documents, processes and templates as required.
- Maintaining the Firm's compliance registers
- Liaising with the FCA on all regulatory matters