Senior Compliance Manager

Compliance Manager – Remote Role - Up to £80k basic salary – Wealth ManagementMy client is a boutique wealth planning firm with offices in Berkshire who I have met twice and placed 10 staff with over the past 3 years. They offer a raft of financial advice to HNW and UHNW retirees, accumulators, local families, and SME owners. In their current setup, they manage the affairs of c.500 clients with assets ranging from £200k - £1m and their UHNW proposition deals with clients with £1m - £10m+ of assets. The business offers advice on pensions, investments, tax planning, cashflow modelling, retirement planning, protections (both personal and business) and some esoteric schemes such as VCT and EIS schemes.The business has a team of senior advisers and a full suite of admin and paraplanning support staff and they have very exciting expansion plans over the next 5 years. With significant financial backing, they would like to double their adviser count both organically and via acquisition of businesses. Before they action their expansion plans, they need to recruit another member of staff into their compliance function before scaling the business. The Managing Director is creating a brand-new role for a Compliance Manager to take a leading role in managing the compliance function and ensuring the business is compliant with all new and upcoming regulations from the FCA including the recent Consumer Duty. You will work very closely with another Compliance Manager who is currently in their position but has a very substantial workload.Responsibilities

First point of contact dealing with all FCA queriesAssessing, monitoring, and mitigating compliance risksConducting audits and implementing compliance programsManage the firm’s relationship with FCA and ensure that the firm can respond in a timely manner to requests for informationEnsure FIT assessments are in place for all Senior Managers and Certified Persons and measures are in place to review regularlyEnsure all relevant records are maintained (register, copies of draft and published promotions etc)Ensure adequate and appropriate PII cover is in placeEnsure that all new staff receive training in the Conduct RulesResponsibility for the Training and Competency for all Senior Managers and Certified PersonsMoney Laundering Reporting OfficerData Protection OfficerOther duties can be discussed in line with your experience. The role will be fully remote but the ability to come to the Berkshire offices once a month or meet up with the existing Compliance Manager who lives in the Hampshire/Surrey area would be ideal.Compensation

Salary is negotiable: £50k - £80kBenefits: pension, death in service cover, income protection26 days holiday + bank holidaysWellness SchemeIf this role sounds of interest or any other roles I am working on please get in touch.Seniority level

Mid-Senior levelEmployment type

Full-timeJob ..... full job details .....