Compliance Manager

Job Description

JOB ALERT - My National IFA client seek a Compliance Manager to join their business , you will be responsible for all compliance duties and lead a dedicated team of 3 and working closely with the external compliance resource for additionalsupport.You will lead the delivery and embedding of an effective and efficient compliance strategy and framework for thegroup, whilst leading on all aspects of compliance support to the business.Compliance ManagerCertified with delegated responsibilities of SMF16 & SMF17 (held by Group MD)Bristol or homebased with occasional national travelSalary up to £60,000 plus bonus and benefitsDuties Oversee and develop the Group compliance strategy to meet the current and future regulatory and strategic needs of the organisation. Build and maintain an effective relationship with the compliance support provider, to deliver the resources needed by the Group. Ensure that the Group has a fit-for-purpose set of compliance arrangements which are clearly documented in policies and guidance documents, and that these are well communicated, rolled out, trained out and embedded across the Group. Provide oversight for compliance within the Group in relation to regulatory requirements and obligations and promoting the highest standards of compliance and corporate governance To keep under review all legislative, regulatory and governance developments that affect the Group. Manage all aspects of the Groups interactions with the FCA and any other regulatory bodies as and when necessary. Build and maintain effective working relationships with the Regulators, including working with the Group to ensure that the company provides a thorough, accurate and timely response to any regulator requests. Lead and direct the technical compliance advice across the Group ensuring the quality and timeliness of advice and guidance provided. Responsible for ensuring that appropriate compliance procedures are in place and monitored in accordance with FCAs expectations. Development, testing and ongoing monitoring of appropriate systems and controls to enable the business to comply with FCA rules. Lead the Group Compliance Committee and the associated compliance and governance processes to ensure the key risk requirements of the Board are being met. Ensure the Board remain informed of regulatory impact and risk including best practice changes and their obligations under these changes and how they impact the Group. A visible role model and driver of TCF & RCR across the business, promoting the appropriate cultures and behaviours in support of fair customer treatment, whilst ensuring the business recognises and manages its Retail Conduct Risks Awareness of operational, regulatory and conduct risk, which may impact on the business. Overarching responsibility for any risk which may impact on the business.Qualifications RequiredDiploma in Financial Planning (or equivalent)Diploma in Compliance (or equivalent) ICAExperience requiredExperienced leader with a track record of driving the introduction of compliance frameworks and approaches.Relevant to a wealth business, Compliance/Regulatory experience within Financial ServicesSignificant experience in Industry and knowledge of Financial Services.Evidence of dealing directly with the FCA, at supervision levelDeep knowledge of FCA regulatory requirements.Strong working knowledge of regulation and corporate governance best practices.