We are currently recruiting for a highly regarded and prestigious financial planning organisation who are looking for a key hire in their business. They require a Compliance Manager to head up the Compliance Function and report directly into the board. The key functions of this role are:
- Acting as the Group’s Money Laundering Reporting Officer and holding the CF11 controlled function.
- Preparation of the ICAAP and monitoring of financial resources
- Preparation and implementation of a comprehensive compliance monitoring programme to monitor the Group’s adherence to the FCA rule book and guidance along with other regulatory matter such as data protection
- Overseeing and monitoring client money and assets activities
- Monitoring the Group’s appointed representatives
- Overseeing the completion of GABRIEL reporting
- Implementing the Group’s training and competence procedure and supervising adviser and discretionary managers in accordance with FCA’s training and competence requirements.
- Providing training to staff as required on anti-money laundering requirements, complaints and any other regulatory matters as required
- Reviewing and approving the Group’s financial promotions
- Drafting and reviewing compliance procedures and disclosure documents, processes and templates as required.
This is a key hire to the group and will involve key responsibilities in dealing with all regulatory requirements. There is a small internal team to manage as well as managing any and all external consultants employed by the firm.
This is an excellent opportunity to join a prestigious, growing business and have a direct influence in it’s future direction.
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Head Of Compliance employer: Blakemore Recruitment
Join a prestigious UK private banking organisation in the heart of London, where you will be part of a dynamic team dedicated to delivering exceptional wealth management services. With a strong focus on employee development, you will have access to excellent career progression opportunities and the chance to work closely with experienced professionals in the field. Our collaborative work culture fosters innovation and supports your growth as you engage with Ultra High Net Worth clients, making this an ideal environment for ambitious Paraplanners seeking meaningful and rewarding careers.
