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Synchronicity Group
,
London, Greater London
Group Compliance Manager
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Job Type: Full-time |
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Salary: £45,000 per annum |
Overview
A wealth management firm (pensions and investments) is seeking to add an additional Group Compliance Manager to their London based Compliance team. This role is working in a team of 6 and reporting to the Head of Compliance without any managerial responsibilities. This is a generalist role requiring solid compliance experience, but you will be mainly responsibile for complaints handling and SMCR (new starter files and approval), as well as financial promotions approval. There are some wider responsibilities in terms of maintaining the Compliance manual, developing new policies and procedures and assisting with regulatory change. You will have a solid compliance background working in a wealth management/IFA environment with experience of complaints and SMCR/T&C. Alternatively, you could be an ex-IFA who has since moved into Compliance and/or has gained complaints experience at the FOS or authorisations/approvals experience at the FCA since being an IFA yourself. Experience of working in an IFA/Wealth Management environment is essential with a demonstrable history of supporting Financial Advisors with their compliance responsibilities. This is a newly created role due to the growth of the company and additional workload of the Compliance team working for one of the largest and most highly regarded whole of market wealth managers in the UK.