Position Overview
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 resourcesPreparation 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 protectionOverseeing and monitoring client money and assets activitiesMonitoring the Group’s appointed representativesOverseeing the completion of GABRIEL reportingImplementing the Group’s training and competence procedure and supervising adviser and discretiona...