Group Compliance Manager - Wealth Management
Newcastle Upon Tyne
Job Type: Permanent / Full Time
A rare opportunity exists for an experienced IFA/Wealth Management Compliance Manager to join one of the UK’s most exciting and ambitious financial advisory firms.
To support the Group Compliance Director in maintaining and delivering effective monitoring of systems, controls and processes to safeguard the interests of our customers, advisers and the firms within the Group to meet the expectations of the firm and the Financial Conduct Authority in respect of the Fair Treatment of Customers.
To support the Chief Risk Officer, and Group Compliance Director with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.
KEY RESPONSIBILITES AND ACCOUNTABILITIES
· Deal with client’s complaints in line with the firm’s complaint handling procedures. Ability to liaise with complainants and 3rd parties to obtain suitable outcomes.
· Maintain the firms Complaint Register.
· Prepare, audit and administer recruitment files for all new advisers, for approval by the Group Compliance Director to a standard that meets the requirement of the firm and the Financial Conduct Authority.
· Maintain and manage the recruitment, appointment and certification of advisers under the Senior Management & Certification Regime
· Maintain all Compliance Registers with the firm(s) as required.
· Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority.
· Contribute to the content and maintenance of the Business Practices Manual and company directives.
· To assist the Group Compliance Director in producing regulatory and other returns as required from time to time.
· Review client files as directed by the Group Compliance Director and provide feedback to advisers in line with the firm’s procedures.
· Maintain and manager the firms data protection assessment register.