We are currently recruiting for a Financial Planning practice in London who are looking to recruit a Compliance Manager to join their team. They are looking for someone who has the Level 4 Diploma within Financial Planning also DB Qualified to do file checking and keep process up to date.

Role Description:

The main responsibilities and duties of this position include but will not be limited to:-

1. Responsible for the management of all Governance, Risk and Compliance policies and procedures.
2. Provide Compliance subject matter expertise and support to the firm and its employees.
3. To monitor any changes in FCA and other regulations, assess their impact and provide guidance on any business change requirements.
4. To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
5. Be responsible for conducting Training and Competence supervisor activities in line with agreed Training and Competence Plan.

Experience/Role requirements

• At least 12 months’ compliance experience within an IFA
• Level 4 qualification essential
• DB Qualification essential
• Strong investments knowledge ideal, along with pensions and protection knowledge
• Good knowledge of FCA rules.
• Experience of Defined Benefit File checking
• Retail Financial Advice, Wealth Management Compliance proficient including Compliance Monitoring.
• Analytical thinking, attention to detail, ability to work under the pressure of strict deadlines are crucial.