Compliance Associate (Wealth Management Firm) - #1697124

Compliance Associate (Wealth Management Firm)

Birmingham

Salary up to £35,000

Candidates applying should come from an IFA Background

You will; need to have obtained, or be working towards CII / CISI Level 4

Our client offers a boutique Wealth Management proposition service and provide bespoke financial solutions to High-Net-Worth individuals and businesses. A rare and exciting opportunity is now available for a highly professional and experienced Compliance Technician to join a growing and dynamic business.

This is a fantastic opportunity to join a prestigious firm with the offer of a competitive salary and excellent career opportunities.

Responsibilities

" Management of regulatory risk across authorised firms

" To establish and maintain a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports or enquiries are handled appropriately and promptly.

" Design and implementation of suitable compliance arrangements in accordance with FCA regulations

" Oversee the review and development of existing products and services.

" Engage with business departments, using a degree of pragmatic collaboration to find compliant solutions to business problems.

" Where necessary, overseeing remedial action as a consequence of regulatory risk

" Overseeing regular auditing to ensure compliance with FCA regulations

" Ensuring findings from client file reviews are recorded as part of the business's management information and reacted to by senior management, where necessary

" Keep up to date with regulatory developments and maintain CPD records to evidence this.

" Collate any regulatory issues or changes for HOC to report to the board

" Provide help and assistance to the HOC to enable advice and guidance on all aspects of compliance including, file reviews, TCF gap analysis and implementation, financial promotion approval, recruitment guidance and implementation of T&C scheme.

" Ensure the firm continues to meet its threshold conditions (COND).

" Manage the firm's relationship with the Regulator in line with Principle 11*

" Ensure that the firm can respond in a timely basis to requests for information from the Regulator.

If you are looking for an opportunity to gain experience within a highly professional Financial Planning organisation then this is the role for you! With an excellent reputation in the Midlands market, my client can offer a sociable working environment and outstanding career opportunities.

For more information please contact one of our specialist consultants quoting Ref: NJR15744

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