Compliance Manager role, in the Financial Planning area of a London Wealth Manager
My Client are a Wealth Management firm based in the City of London.
This position provides compliance support and quality assurance on the financial planning side of the business, Training and Competence supervision for the FP and assist with the implementation of SM&CR ahead of December 2019 FCA deadline.
The day to day responsibilities (but not limited to): -
Maintain the Financial Planning T&C Scheme
Assist with Supervision of Financial Advisers
Monitoring of all advisers' daily activities
Maintaining Key Performance Indicator records for all advisers
Observing client meetings (quality assurance)
Identifying training and development needs for advisers
Organising appropriate training -delivered internally.
Pre-approval of all suitability reports
Regular file reviews
Assessment of Initial Competence
Assessment of Ongoing Competence
Overseeing the Investment Proposition including management of the investment portfolios, fund selections, audit trails etc.
Handling Client Complaints
Assist Head of Compliance with Reporting (Various Committees and Boards)
The Candidate will ideally have the following:
Please don't hesitate to apply if you meet the above criteria and would like to find out more.
Morgan McKinley is acting as an Employment Business in relation to this vacancy.
Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.