Salary:

£55,000.00 - £65,000.00 / annum

Location:

London

Date posted:

7th August 2019

Employment type:

Permanent

Job reference:

06030-0011106350

Staffing area:

Financial Services


Description

Compliance Manager - Advisory

Wealth Management

London

£55K-£65K

Main Duties

  • To manage the day to day running of the Compliance policy framework
  • To ensure the company adheres to internal policies and procedures and revise/develop where necessary
  • To be responsible for undertaking Complaint investigations in accordance with DISP
  • To be responsible for managing the firm's AML/CFT policies/procedures and monitoring
  • To be responsible for regulatory horizon scanning and reporting at management committees as required
  • To provide regulatory guidance to the business
  • To assist with managing the company's Treating Customers Fairly and Conduct Risk strategy
  • To undertake regulatory rule mapping to identify and demonstrate adherence to the regulation applicable to the company
  • To manage the Compliance inbox to ensure all queries are dealt with on a timely basis. Reporting trends and issues to the Head of Compliance
  • To provide day to day advice to advisory areas of the business on regulatory/KYC and AML matters
  • To assist the Director of Risk and Compliance and the Head of Compliance in advising the firm on policy and procedural matters
  • To manage the training and competency framework
  • To assist with the internal monitoring process, including file review monitoring

  • To assist the Director of Risk and Compliance in implementing the risk management framework and control environment

  • To manage relevant suppliers (AML providers, online T&C tools etc)

  • To maintain a strong working relationship with key stakeholders across the company
  • To support the team members to ensure a consistent high quality of service to clients
  • To proactively work to ensure all clients receive a positive experience and take appropriate action to drive positive client outcomes
  • To deliver work in a timely, effective and efficient way, with a high degree of accuracy

Requirements

  • Minimum 3 to 5 years Compliance experience within an IFA or Wealth Management environment
  • Professionally qualified or studying towards
  • Good knowledge of FCA Handbook, particularly COBS, DISP, SYSC, PROD
  • Previous Compliance monitoring experience preferable
  • Previous Complaint handling experience preferable
  • Accurate and professional written style
  • Excellent communication at all levels of the

The salary range/rates of pay is dependent upon your experience, qualifications or training.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Where rates of pay or salary ranges are detailed these are dependent upon your experience, qualifications or training. If you wish to apply for this position please read our Privacy Notice which details how we may use, process, store and disclose your Personal Information: https://www.roberthalf.co.uk/privacy-notice.

Requirements
Compliance advisory; wealth management


London

10th Floor, The Shard
32 London Bridge Street
London
SE1 9SG
gb
0207 389 6900
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