London Jobs |
Manchester Jobs |
Liverpool Jobs |
Nottingham Jobs |
Birmingham Jobs |
Cambridge Jobs |
Glasgow Jobs |
Bristol Jobs |
Wales Jobs |
London Jobs |
Manchester Jobs |
Liverpool Jobs |
Nottingham Jobs |
Birmingham Jobs |
Cambridge Jobs |
Glasgow Jobs |
Bristol Jobs |
Wales Jobs |
Oil & Gas Jobs |
Banking Jobs |
Construction Jobs |
Top Management Jobs |
IT - Software Jobs |
Medical Healthcare Jobs |
Purchase / Logistics Jobs |
Sales |
Ajax Jobs |
Designing Jobs |
ASP .NET Jobs |
Java Jobs |
MySQL Jobs |
Sap hr Jobs |
Software Testing Jobs |
Html Jobs |
Job Location | Cardiff |
Education | Not Mentioned |
Salary | £55,000 per annum |
Industry | Not Mentioned |
Functional Area | Not Mentioned |
Job Type | Permanent , full-time |
A highly respected Financial Advisory firm is looking for a Compliance Manager to join the business.The role will involve taking responsibility for the following: FCA PermissionsFinancial Resources Requirements / Capital AdequacyCompliance ProceduresSenior Management meetingsFile checking (Client file advice records)Advice process / file standards & the key elements to robust client recordsInvestment Committee, Wraps & Platforms - ResearchPROD & target market implementationConsumer Duty planning & implementation / TCF / Duty of care / Annual reviewsTraining & Competence (T & C) / CPD / CertificationRecruitmentRemuneration policyIncome Drawdown / Structured ProductsData Security / Business Continuity Plan / Business resilience / Record-keepingFit & Proper declarationsComplaints / DISPFinancial promotionsKey Requirements:Strong Compliance management experience within the Wealth Management industry.Qualified to QCF Level 4 or equivalent as a minimum.Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.If you would like this job advertisement in an alternative format, please contact MERJE directly.