Compliance Manager/Distribution/Advice/Regulatory/Investment

Somerset  ‐ Onsite
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Keywords

Description

Compliance Manager/Distribution/Advice/Regulatory/Investment

I am currently recruiting for a Compliance Manager to join the Distribution team within Wealth Management of a Global Investment Bank. You will be required to review the advice which is provided to it's clients, mainly around mortgages, banking and Investment products.

The successful Compliance Manager needs to be QCF Level 4 qualified as a minimum and come from an Investment Banking, Fund Management or Wealth Management background with at least 5 years experience within the Distribution Team as a Compliance Manager.

Key skills and experience:

Previous Compliance experience within the Distribution Team of an Investment Manager or Wealth Manager

QCF Level 4 qualified as a minimum

Experience interacting with the FCA

Oversight of advice given and how it should be given

Review of MI to ensure clients are treated fairly with advice given and products sold

This is a long term contract position with the opportunity to move into a permanent role

Please apply ASAP if you meet the above criteria as this is an urgent requirement.

Keywords: Compliance Manager, Distribution, Advice, Regulatory, FCA, Proposition, Review, MI, QCF 4, DipFA, Policy, Investments

Start date
ASAP
Duration
6 months
From
Orgtel
Published at
08.01.2015
Project ID:
831112
Contract type
Freelance
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