Compliance Manager- Cardiff

recruitukltd Salary: £45,000 - £60,000

Our client is a prestigious wealth management company based in Cardiff. They are going through a period of growth and expansion and are in need of an experienced Compliance Manager to come in the company and oversee their Compliance Oversight Function (CF10 & MLRO CF11).

The successful Compliance Professional will record, review, monitor and implement compliant procedures throughout the firm. You will ensure that the firm continues to meet its threshold conditions (COND) and instil a compliant culture within the firm that embraces TCF (treating customers fairly).

Also, you will ensure the firm complies at all times with the relevant Compliance and Training and Competence procedures with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles, Rules and Code of Practice for Approved Persons.

Key Responsibilities and Outputs:

  • Compliance Monitoring
  • Systems and Controls
  • Selling Practices
  • Complaints handling
  • Financial Promotion
  • Professional Indemnity Insurance
  • Recruitment
  • Training and Competence

The right candidate will have extensive experience as a Compliance Manager within a financial planning arena, will know all the relevant legislation that has previously been stated, will know the compliance parameters intimately and can come in to the role and get started immediately.

In return, the successful applicant will receive a salary of up to c£60,000 (dependent on experience) with the potential to progress within a well-regarded company. To discuss this role in more detail, please contact Ryan Bartlett at Recruit UK on 01179170410 (Please quote reference –12287).

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