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Blakemore Recruitment
Compliance ManagerBlakemore Recruitment • London, GB
Compliance Manager

Compliance Manager

Blakemore Recruitment • London, GB
30+ days ago
Salary
£40,000.00–£50,000.00 yearly
Job type
  • Full-time
Job description

We are currently recruiting for a Financial Planning practice in London who are looking to recruit a Compliance Manager to join their team. They are looking for someone who has the Level 4 Diploma within Financial Planning also DB Qualified to do file checking and keep process up to date.

Role Description:

The main responsibilities and duties of this position include but will not be limited to:-

  • Responsible for the management of all Governance, Risk and Compliance policies and procedures.
  • Provide Compliance subject matter expertise and support to the firm and its employees.
  • To monitor any changes in FCA and other regulations, assess their impact and provide guidance on any business change requirements.
  • To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
  • Be responsible for conducting Training and Competence supervisor activities in line with agreed Training and Competence Plan.

Experience/Role requirements

  • At least 12 months’ compliance experience within an IFA
  • Level 4 qualification essential
  • DB Qualification essential
  • Strong investments knowledge ideal, along with pensions and protection knowledge
  • Good knowledge of FCA rules.
  • Experience of Defined Benefit File checking
  • Retail Financial Advice, Wealth Management Compliance proficient including Compliance Monitoring.
  • Analytical thinking, attention to detail, ability to work under the pressure of strict deadlines are crucial.
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Compliance Manager • London, GB

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