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Head of Compliance (SMF-16)
Location:
Altrincham
Description:
Bond recruitment is delighted to be recruiting for a Compliance Officer on behalf of our client, a very well established and well respected firm of Independent Financial Advisers based in Altrincham. The Head of Compliance is responsible for overseeing and managing the compliance function within an organisation, ensuring that the company and its employees are adhering with internal policies and procedures and also with regulatory requirements. Compliance Responsibilities Lead and implement all regulatory change projects Complete all ongoing FCA reporting returns Maintain data on FCA directory Act as key liaison point for all FCA supervisory and thematic reviews and complete all associated action plans Completion of annual PII renewal, working closely with PII broker to secure compliant insurance cover Complete file reviews for Mortgage and Investment Advisers and provide pre-approvals of high-risk advice, as per the requirements of the T&C scheme, providing detailed feedback to advisers where required to aid any identified development need P Produce quarterly and annual compliance MI reporting to the directors Manage the Compliance Monitoring plan Manage the Risk Register Draft key regulatory documents for the directors, including Capital Adequacy, Wind down plan, Business plan Produce, implement and monitor completion of all annual compliance staff training and new staff induction Management of regulated complaint process, including investigation and communications with clients and FOS Oversight and compliance approval of financial promotions Provide ongoing regulatory advice, including to directors and Investment Committee Key liaison point for external compliance support threesixty, including six monthly business risk backssments and completion of associated action plans Implementation and oversight of processes, including CIP, CRP, advice and annual review processes Implementation and oversight of all policies, including GDPR, Conflicts of Interest, Vulnerable. Visit ListedBuy for more information.
Company:
Bond Recruitment
Posted:
February 1 on ListedBuy
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More About this Listing: Head of Compliance (SMF-16)
Head of Compliance (SMF-16) is a Executive Compliance Officer Job at Bond Recruitment located in United States. Find other listings like Head of Compliance (SMF-16) by searching Oodle for Executive Compliance Officer Jobs.
Head of Compliance (SMF-16) is a Executive Compliance Officer Job at Bond Recruitment located in United States. Find other listings like Head of Compliance (SMF-16) by searching Oodle for Executive Compliance Officer Jobs.