Job Details  
Advertiser: TLP Consultancy

 
Job Title: Compliance & Team Manager - Financial Compliance M
Location:Crawley
Rate:£40K to £45K Per Year    Benefits: good benefits
Description: Compliance & Team Manager – Financial Compliance Manager – Compliance Manager – Gatwick – Crawley – West Sussex

As Compliance & Team Manager – Financial Compliance Manager - you will be working closely with the Client Support Director, managing a team of 12 direct reports. With clients very firmly at the centre of our business, this role is critical in ensuring we not only meet our clients high expectations, we exceed them. You will need to have the ability to perform well under pressure, have outstanding organisational skills, great attention to detail, the ability to plan workloads, manage conflicting demands and deadlines, with a keen and flexible attitude. You will also be responsible for assisting in the development and implementation of our on-going compliance program to meet regulatory requirements. This will involve policy development, training, monitoring, risk assessment, advising the business on compliance matters and issue remediation.

You will also be required to compliance check all pre-sale, high risk advice documentation – such as pension switches, investment transfers and tax calculations to ensure that all client paperwork obtained is being processed compliantly and in a timely manner. Completing sample checks on post sale and other advice documentation such as bed & ISA, cash investments and other documents as necessary, producing management information for the activities detailed above. Collating and preparing reports for the Client Support Director and presenting findings in a meaningful way, ensuring the continuous interrogation of information and the identification of issues, trends and opportunities, and assisting the client support director in liaison with regulatory agencies and internal and external requirements on compliance related matters (namely AML/KYC, COBS).

Key Skills & responsibilities:

• At least Diploma qualified with CII
• A number of years’ experience in the Financial Services
• Leading, managing, supporting, and developing the client support team and their performance in accordance with our processes, policies, brand values, and behaviours
• Good strong technical experience
• Experienced Paraplanner or a very thorough understanding of both simple and complex financial products (defined benefit pension schemes, structured products)
• The difference between client circumstances and client objectives and different types of objectives (immediate and long term, financial and non-financial)
• Knowledge/experience of data protection requirements
• Experience in the review of code of ethics related compliance matters (personal account dealing, outside business interest, gifts, benefits, entertainment)


My client is looking to pay a base salary of between 40,000 - 45,000, +benefits to include private medical insurance, pension scheme, income protection, and death in service.

Please send you CV details to be considered



TLP Consultancy Ltd is acting as an Employment Agency in relation to this vacancy.
Skills Required: Compliance & Team Manager - Financial Compliance Manager - AML/KYC - COBS
Job Type: Permanent
Start Date: ASAP     Duration: ASAP
Contact: Joe Coombes Contact E-mail: Click
Contact Tel: 01737 824032 Contact Fax: 01737 824001
Reference: JC000020 Added: 02-02-2018
  IMPORTANT: For jobs based in the UK it is unlawful to employ a person who does not have permission to live and work in the UK. Please ensure you have this permission before applying, unless the advert states otherwise.
 
 
 
 
 
 
 
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