____________________
______________________
______________________
______________________
_____________________
______________________
_____________________
_____________________
_____________________
__________________
Job Title: IFA Compliance Manager (Full/Part-Time Considered) Reports to: Director Location: Droitwich/Gloucester Job Purpose: As a Compliance Manager, you will play a pivotal role in the firm's regulatory and risk framework. Your responsibilities include ensuring that systems and procedures are in place to meet both regulatory and internal requirements across all markets where the company operates. You'll be a confident and proactive communicator, responsible for updating stakeholders on regulatory changes and horizon scanning. Key Responsibilities and Accountabilities: Develop and deliver a sustainable risk-based compliance program. Identify compliance process improvements and weaknesses, presenting solutions where appropriate. Manage the annual compliance diary to ensure key business and regulatory deadlines are met, communicating with relevant stakeholders for timely completion. Monitor and maintain regulatory registers to identify relevant risks. Collaborate with external file check support to ensure robust and compliant advice files, identifying improvements and implementing necessary changes. Uphold standards of regulatory compliance. Develop and draft compliance policies and procedures, conducting annual reviews to enhance efficiency and meet regulatory requirements. Manage day-to-day compliance activities alongside the compliance associate. Provide guidance to the Group on regulatory changes. Offer guidance and support to consultants and individuals as needed. Oversee the Training & Competence scheme, identifying areas for action and improvement. Regularly provide feedback to key stakeholders on risk-related matters. Handle all aspects of complaints through to resolution. Organise and implement internal training for staff. Ensure continual embedding and implementation of the Consumer Duty within the Firm. Oversee the preparation of applications to the FCA, Regdata submissions, and annual PII renewal. Implement any action points identified from external compliance audits. Complete ad-hoc compliance projects in response to compliance improvement or the company's growth strategy. Represent the company at key project meetings to implement propositional and regulatory changes. Skills and Abilities: Previous experience working within an IFA or Wealth Management firm, emphasising regulatory compliance for approved persons. Good knowledge of FCA Conduct of Business Rules. Familiarity with financial planning activities. Understanding of the Regulatory Financial environment (FCA rules). Ability to work collaboratively with colleagues across the business. Effective communication skills, both written and verbal, maintaining the role's integrity even in challenging situations. Self-motivated and highly driven. Excellent time management skills. Ability to work independently without supervision. Strong presentation skills. Coaching abilities. Qualifications Required: Certificate in financial planning or equivalent. Optional: CII RO1 & J07/AF6 or equivalent training as a T&C Supervisor.
Compliance Manager - Worcester/Gloucester - up to £55k - Full time/Part-time An exciting opportunity has arisen for an experienced compliance Manager to join a growing wealth management practice in their Droitwich/Gloucester office. The firm have been voted on Vouchedfor as one of the best advisors by client reviews in 2024. Their typical clients are: Business owners, professionals & senior executives, retirement planning, already retired and more. The role has come around due to some re-structuring in the company and the successful candidate will be working along side senior Directors in the firm. What's on offer? Company performance and individual performance bonus Hybrid working for the ideal candidate Electric Car Cycle to work scheme DIS X 4 Company pension scheme Office shutdowns for company events Social Events Pension Contribution Key Responsibilities Develop and deliver a sustainable risk based compliance programme. Identify compliance process improvements/weaknesses and present solutions where appropriate. Monitor and maintain regulatory registers to identify relevant risks. Work with external file check support to ensure robust and compliant advice files, identify improvements and implement required changes. Manage day to day compliance activities alongside the compliance associate. You will need to have wealth management experience to be considered for this Compliance Manager position. What's next? Apply today to be considered for this compliance Manager opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements. Additionally, refer a friend or colleague to us and receive £200 if we assist them in securing a new career. Synonyms: IFA, Compliance Manager, Compliance Officer, Compliance Executive, Financial Planning, Financial Advice, Financial Advisor, Financial Planner, Financial Adviser, Compliance Consultant, FCA, Oversight, Monitoring, file review, compliance technician #LI-JM1
We're on a journey to shape the future of policing in our three counties and we want you to be part of it. We value difference and believe in creating an inclusive working environment where our employees feel safe to make suggestions and voice their opinions. The main purpose of the Operations Supervisor (Systems)role is to assist in providing a professional, effective service across West Mercia Police Area. To supervise the performance of the Film Reading Team Ensuring workloads are prioritised to meet all targets whilst maintaining a smooth flow of offences through the unit. To support the supervision of the Enforcement team. To perform the role of technical advisor and systems administrator for all back office systems. The Operations Supervisor (Systems) role is a hybrid role Full time position Permanent The closing date for this post is 12 noon on Wednesday 15th May 2024 Why work for us? 26 days Annual leave (increasing to 31 after 5 years service) bank holidays Generous pension scheme Health and wellbeing, occupational health services, staff network and PAM assist. Police Mutual, affordable private healthcare and other savings. Gym membership discounts. Register for a Blue light card - over 15,000 discounts from large national retailers. To read more about the added benefits and rewards of working for West Mercia Police, please go to our website. We embrace diversity and welcome applications from everyone. We are also happy to talk flexible working where it is suitable for the role. If you require any support to complete your application or you have any questions please contact the recruitment team on 0 1 9 0 5 7 1 8 4 4 4 (press option 1 then 5) Internal applicants who are in need of redeployment will be offered positions ahead of other candidates, subject to them passing a selection process