Compliance Manager

City of London
08 Feb 2019

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)

  • FCA thematic/queries

  • FCA Reports

The Candidate will ideally have the following:

  • Chartered Financial Planning qualification (or equivalent).
  • Familiar with SM&CR.
  • Knowledge of Investment Management desirable.
  • Pensions advisor and tax planning qualification advantageous,
  • Supervisory and T&C experience.
  • Minimum 4 years Compliance Experience.

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.

James Batters's picture
Consultant | Compliance Recruitment
London +44 207 092 0281 |