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Heat Recruitment
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Coventry, West Midlands
Compliance Manager
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Salary: From £40,000 to £45,000 per annum |
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Overview
Compliance Manager Location: Coventry Salary: £40,000 - £45,000 This is an exciting opportunity for a Compliance Manager to join a financial planning firm with a fantastic reputation. You will be fully responsible for supporting the work of the financial advisors by carrying out a variety of compliance duties in the Financial Services department. Responsibilities: Carrying out file reviews, checking all documentation, reviewing adviser recommendations to clients in relation to all products Monitoring AML checks Preparing and reviewing business compliance KPIs Performing regular reviews and updating of financial services policies and processes in line with relevant legislation Collating the reporting and KPI requirements for advisors, creating effective communications to ensure all staff are aware of the requirements and performance to date Monitoring compliance with monthly and annual accounting reporting including monthly checklist and biannual Board Reports Maintaining a register of issues for consideration by firm management which highlights main risk areas in this area of compliance Supporting the Management Team to develop and deliver training on key areas by the identification of generic issues or new regulations Skills: Experience of developing a strong control environment within the financial services sector Have the ability to report with clarity on the issues identified and actions needed to resolve those issues. Be able to make clear assessments on the priority and importance of reporting Have a solid working knowledge of COBS, ICOBS and MCOBS. What next? Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements. Additionally, refer a friend or colleague to us and receive £200 if we assist them in securing a new career. Synonyms: Compliance Officer This job was originally posted as www.totaljobs.com/job/89938853