8 months ago
Part time Risk and Compliance manager
Salford Quays (M50 1DR)
A fast-growing financial services firm require a part time Risk & Compliance manager. The successful candidate will need to be office based 1 day per week and take on CF10 & CF11 functions with the FCA. They will be responsible for ensuring the company complies with its outside regulatory requirements and internal policies.
You will need to
• Perform risk assessments to understand the level, significance and scope of risk
• Produce risk assessments, compliance reports, MLRO reports, disaster recovery procedures
• Keep up to date with, and understand, relevant laws and regulations
• Monitor compliance with laws, regulations and internal policies
• Report, recorded and follow up with the board
• Monitor and educate employees
• Investigate irregularities and non-compliance issues
• Contribute to robust and effective compliance controls within the organisation
• Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
• Assist in the gathering of internal information in response to regulatory requests
• Perform various general administrative duties
Full time equivalent salary £40,000 p.a.
Skills & Qualifications
• Level 4 Financial Planning Diploma qualified
• Held CF10 and CF11 functions
You will need to have:
• Experience as a Compliance Officer/Manager within IFA environment
• Detailed knowledge of the FCA’s rules and guidance.
• Detailed knowledge of the FCA anti-money laundering requirements
• Critical problem-solving ability
• An ability to analyse and interpret information quickly
• Project management skills.
The successful candidate will have at least 5-year experience in a similar role.
You should have experience with ISA regulations & complaints handling.
Please apply online and send your current CV / Cover Letter and any further documents supporting your application.
Orange Recruitment is advertising this position on behalf of our client. By clicking apply you accept that your application will be forwarded to only this client in order for them to consider you for the role.