IFA Compliance and Supervision Manager

6 days left

Recruiter
Anonymous
Location
Surrey
Salary
40000.00 - 60000.00 GBP Annual + GBP40000 - GBP60000/annum Bonus & Benefits
Posted
27 Sep 2017
Closes
25 Oct 2017
Category
Accounting
Function
Consultant
Contract Type
Permanent
Hours
Full Time
IFA Compliance & Supervision Manager - QCF level 4

Respect IFA regulated network authorised and regulated by the Financial Conduct Authority currently experiencing rapid growth.

As a result of this growth, they are looking for an experienced individual to be responsible for advising, managing and supervising Appointed Representative firms, specifically in the retail IFA and Insurance sector.

Key Responsibilities include:

* Advising senior business stakeholders on the firm's regulatory obligations and how they should be met in respect of IFA's, Consumer Credit and Insurance sectors.
* Drafting policies, procedures and reports as required

* Produce internal and external reports on FCA policy

* Plan schedule and undertake supervisory visits of appointed representative firms

* Ensure required audit actions are tracked to completion

* Responsible for the implementation of any requirements of FCA rules and regulations relating to appointed representative firms

* Documenting and implementing any changes to the governance plan/activity in line with the FCA rules and regulations.
* Delivering compliance training to approved persons

* Supporting the Financial Promotions approval process

* Maintaining an up to date knowledge and understanding of regulatory policies, including, Financial Crime Protection, Conflicts of Interest, Dealing, Inducements and Financial Promotions and Training and Competence

Essential Experience/Skill set required:

* Understanding of FCA handbook specifically SYSC, ICOBS, COBS and DISP

* QCF level 4 or working towards

* Background of audit, monitoring or supervision of regulated investment firms
* Developing and maintaining strong relationships with all relevant stakeholders
* Good experience in the retail financial services sector with an excellent knowledge and understanding of KYC, AML, file review and audit.
* An interest in Fin-Tech and the ability to read and understand FCA policy, produce internal and external reports and have excellent written and verbal communication skills

Competitive salary plus extensive benefits including study support, discounted Gym membership, 1/4rly profit share, Pension, DIS and PMI

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age