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.
- 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