Compliance Manager

Recruiter
SRM RECRUITMENT LIMITED
Location
Harpenden
Salary
£50,000 - £59,999
Posted
19 Feb 2019
Closes
23 Feb 2019
Category
Accounting
Contract Type
Permanent
Hours
Full Time

Our client is an independent Wealth Manager who are looking for an expierenced Compliance Manager who can take complete ownership of the role and make it their own.

Main Duties:

  • Develop our compliance and draft and amend existing compliance policies and procedures.
  • Develop our existing T&C plan
  • Arranging, carrying out and checking the training and competence for compliance with the relevant regulatory requirements in relation to registered individuals including conducting T&C 'one to ones' and agreeing annual training plans.
  • Liaising with compliance consultants when applicable
  • File checks
  • Work with new advisers to ensure competent
  • Assist Operations Manager with recruitment of advisers
  • Provide necessary training for staff
  • Undertake supervisor role for all advisers
  • Preparing compliance reports for board
  • Maintenance of compliance registers and documents
  • Assisting with the completion of regulatory returns

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