Compliance Manager (SMF16 & SMF17)

A Compliance Manager (SMF16 & 17) is required by a leading national wealth management firm to take responsibility for Compliance in up to 5 IFA firms based within the Midlands area. Your time will be split between the office near Solihull (3 days a week) and home (2 days a week).

Your responsibilities will include:

• Implementation of the Group’s Compliance Framework within each regulated entity
• Advising each firm on compliance and business standards to ensure these align to regulatory requirements
• Acting as the firms MLRO and Nominated Officer
• Ensuring suitable compliance policies and procedures are in place
• Ensuring regulatory obligations under the Senior Managers and Certification Regime are met
• Supporting firms in all compliance matters
• Overseeing the implementation of suitable financial crime controls
• Overseeing the implementation of suitable training and competence arrangements
• Ensuring that the firms’ activities are appropriately monitored
• Advising firms on group policy and FCA requirements
• Approving financial promotions
• Being the contact point for FCA
• Delivery of suitable compliance training to staff
• Investigation of breaches
• Investigation of complaints
• Maintenance of central registers e.g. complaints, breaches, conflicts of interest
• Compliance Reporting
• Overseeing the completion and submission of regulatory returns
• Providing compliance reports to firm Boards

To be considered for this excellent opportunity you will have at least 5 years’ Compliance experience in the IFA sector and will ideally have held SMF16 (CF10) and SMF17 (CF11) functions previously. You will have a detailed working knowledge of FCA requirements relating to investment advisers and portfolio managers and will ideally hold relevant Compliance and/or CII qualifications.


Salary:To £65k + 20% bonus + benefits


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