Compliance Manager- Cardiff
Salary
45,000 - 60,000
Location
Cardiff
Job Type
Full Time
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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