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Willow Resourcing
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Birmingham, West Midlands
IFA Group Compliance Manager
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Job Type: Full-time |
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Salary: £45,000 per annum |
Overview
An IFA Group Compliance Manager is required by a successful national financial planning firm providing services to implement and oversee the firm’s compliance policy as well as provide regulatory risk management for all areas of the business. This is a senior managment position that will lead to a Director role for an outstanding individual. Your main responsibilities will include Acting as risk management officer for the firm, ensuring that it complies with all relevant regulations at all times Ensure the firm fully implements its risk-based compliance and financial crime procedures Ensure all regulatory reports are submitted to the FCA in a timely manner Ensure that all approved persons are assessed as fir and proper annually in accordance with the Approved Persons / SMCR Certification regimes Ensure all advisers and new business administrators are aware of any relevant guidance in the areas in which they work and have received appropriate training on any new markets / products Review any complaints and investigate accordingly Ensure all financial promotions are approved and recorded on the financial promotion register Ensure any new recruits are trained in the firm's relevant procedures including complaints, financial crime, TCF, T&C and whistleblowing Ensure all approved persons are subject to the necessary levels of supervision Manage and develop a Compliance Officer You will be qualified to at least Level 4 and ideally be working towards Chartered status. You will have strong compliance experience within a financial planning firm and be fully conversant with relevant FCA regulations. You will have a good understanding of investment products and financial markets, as well as AML and GDPR regulations. Strong communication and stakeholder management skills are essential.