Compliance Manager
- Recruiter
- Curve Group Holdings Ltd
- Location
- Warrington
- Posted
- 03 May 2018
- Closes
- 02 Jun 2018
- Job role
- Accountant
- Sector
- Accounting - Public practice
- Experience level
- Manager
Our client is a FTSE 100 Wealth Management company with £90.7bn of client funds under management. Due to continued growth they are looking to appoint a Compliance Manager, Acquisitions based in Warrington.
Main Purpose of the Job
To monitor and manage risks within the UK acquisition businesses. To develop systems and controls to provide assurances to all key stakeholders, reporting directly to the UK Acquisitions – Head of Compliance.
Main Functions of the Job
* Monitor KPI’s and Quality of Advice
* Conduct risk based business checking reviews
* Review systems and procedures in place for quality of advice, T&C and compliance to ensure they are up to date with FCA guidelines
* Keep abreast of industry and regulatory changes and take appropriate action within the firms to ensure risk controls are appropriate
* Processing FCA applications and following recruitment process for new advisers into the firms
* Creating and maintaining risk management controls within the businesses
* Adhoc project work as required
* Customer complaint handling
* RMAR and Professional Standards Reporting to FCA
* Managing FCA Permissions
* Working alongside UK Acquisitions Financial Controller to ensure costs are controlled
* Maintenance of all Compliance Procedures and ManualsParticipating in Advice and Investment Monitoring Committees as appropriate
* Undertaking sensitive adviser investigations as part of the risk management frame work as required
* Representing the businesses at FCA events
* T&C / Nominated Supervisor for advisers within the acquisition businesses
* Working with the directors of the businesses on all aspects of the business
* Thematic reviews to test systems and controls within the firm to drive standards forward and follow through on actions
* Undertaking elements of regulatory Due Diligence of perspective future acquisitions in the UK
* Developing and maintaining Due Diligence processes
* Managing relationships with the regulator and other third party providers (including IT contractors)
*
Qualifications required
* CII Level 4 Diploma in Financial Planning (or equivalent preferred)
Main Purpose of the Job
To monitor and manage risks within the UK acquisition businesses. To develop systems and controls to provide assurances to all key stakeholders, reporting directly to the UK Acquisitions – Head of Compliance.
Main Functions of the Job
* Monitor KPI’s and Quality of Advice
* Conduct risk based business checking reviews
* Review systems and procedures in place for quality of advice, T&C and compliance to ensure they are up to date with FCA guidelines
* Keep abreast of industry and regulatory changes and take appropriate action within the firms to ensure risk controls are appropriate
* Processing FCA applications and following recruitment process for new advisers into the firms
* Creating and maintaining risk management controls within the businesses
* Adhoc project work as required
* Customer complaint handling
* RMAR and Professional Standards Reporting to FCA
* Managing FCA Permissions
* Working alongside UK Acquisitions Financial Controller to ensure costs are controlled
* Maintenance of all Compliance Procedures and ManualsParticipating in Advice and Investment Monitoring Committees as appropriate
* Undertaking sensitive adviser investigations as part of the risk management frame work as required
* Representing the businesses at FCA events
* T&C / Nominated Supervisor for advisers within the acquisition businesses
* Working with the directors of the businesses on all aspects of the business
* Thematic reviews to test systems and controls within the firm to drive standards forward and follow through on actions
* Undertaking elements of regulatory Due Diligence of perspective future acquisitions in the UK
* Developing and maintaining Due Diligence processes
* Managing relationships with the regulator and other third party providers (including IT contractors)
*
Qualifications required
* CII Level 4 Diploma in Financial Planning (or equivalent preferred)