AMG Search has an opportunity for a Compliance Manager to join a high profile and respected firm of Chartered Financial Planners.
- The Compliance Manager will be responsible for the Compliance needs of the organisation and will have a strong understanding of FCA rules & regulations.
- Draft, modify & implement company policies & processes to ensure ongoing FCA compliance.
- Keep abreast of all regulatory developments & evolving best practices in compliance control.
- The Compliance Manager signs off on all aspects of Advice to determine suitability.
- Prepare reports for senior management and external regulatory bodies as appropriate
- To administer, record and handle all complaints
To be considered for this outstanding Compliance Manager opportunity you will have experience as a Compliance Manager within a financial services firm
- Working knowledge and experience of the FCA handbook and the regulatory framework
- Experience of Consumer Credit Regulations
- Minimum CII / PFS qualification, Level 4 Diploma
- Excellent knowledge of reporting procedures and record keeping
- You are a Compliance Manager with an analytical mind and able to “see” the complexities of procedures and regulations
Join our client as a Compliance Manager and you will be part of a highly successful and respected financial planning firm.
- Established in 1988, our client was one of the first 100 Chartered firms in the UK
- It is now one of Scotland and the UK’s leading financial services businesses and
- Currently advise on over £420million of clients’ assets.
- Beautiful offices in Edinburgh city centre
This is an outstanding opportunity with an outstanding firm.