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THE COMPANY:

Our client is a well established IFA based in the heart of the financial hub.

THE RESPONSIBILITIES:

• Manage the firm's relationship with the regulator
• Complete quarterly and monthly returns to FSA
• Deal with all correspondences and requests from the FSA
• Prepare for visits/reviews with the FSA
• Ensure compliance with the legal and regulatory requirements by the firm
• Maintain Complaints file, Rule Breach register and returned cheque file
• Establish Compliance procedures and review on regular basis
• Remain up to date with the requirements of the FSA and implement new regulations as required
• Produce monthly compliance report to the Board
• Deal with complaints against advisers and the firm
• Act as supervisor for the firm by carrying out assessment meetings with all advisers and other supervisory meetings when required, and assessing KPI's
• Process "Fit & Proper" checks on an annual basis
• Devise training and development plans in line with training needs
• Act as Anti Money Laundering Reporting Officer for the firm
• Ensure the firm remains compliant with the requirements of the money laundering regulations
• Establish Anti-Money Laundering procedures and review on regular basis
• Ensure advisers and staff remain properly trained in relation to money laundering regulations
• Act as a member of the Senior Management Team by Assisting with day to day running of the Company in line with strategic goals
• Promote the Corporate culture of TFC
• Renew and negotiate PI terms and ensure adequate cover is in place
• Maintain CPD, develop skills and keep up to date with all legal and regulatory changes as required for the role

EXPERIENCE REQUIRED:

• Knowledge of investment, compliance, pension and insurance issues
• Understanding the advisory role within wealth management and employee benefits
• Experience as a Compliance Manager in retail financial services
• Compliance qualification desirable

For further information please contact Rafa Hussain

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