Compliance Manager

Description:

We are exclusively recruiting for a niche PWM firm now looking to take on their first Compliance staff member. Reporting to the MD (who also holds SMF 16 &17) duties include;

• Overseeing the firm's compliance framework, ensuring adherence to FCA rules (especially under the Senior Managers & Certification Regime and Consumer Duty).
• Monitoring adviser activity to ensure compliant advice processes and documentation.
• Conducting file reviews, risk assessments, and internal audits.
• Completing all regulatory filings and submissions in line with FCA timelines.
• Keeping up to date with regulatory developments and updating policies accordingly.
• Providing training and guidance to advisers and support staff on compliance matters.
• Handling complaints, breaches, and regulatory reporting.
• Liaising with the FCA, compliance consultants, and other third parties as needed.
• Providing compliance expertise and advice for ad hoc projects eg acquisitions.
• Creating and running a compliant onboarding process for new recruits.
• For new advisors, to take them though to becoming competent (CAS) including (but not limited to) observations, training and updating files and the FCA.