Compliance Manager/Senior Manager

Fram are working with a London based investment firm who are seeking a part-time Compliance Manager. Our client offers bespoke discretionary investment management advice to private clients. Due to internal movement and the current directors dealing with operations and compliance responsibilities they are happy to look at a range of experience which is reflected in the salary banding which is pro rata. Candidates do need to have compliance experience (MLRO) but they will consider someone who is looking to step up in responsibility or an individual who has already held SMF status before, but is looking to slow down and reduce their hours. The individual will have overall responsibility for all compliance policies and controls across the business and will work closely with the senior management team to ensure the business is fully compliant with all statuary and regulatory obligations. Some of the duties will include : Responsible for producing and submitting regulatory returns to the FCA and Manage the firm’s relationship with the FCA. AML and Risk management oversight Operational oversight To monitor and keep the board advised of current and pending relevant regulatory requirements. To report immediately to the board all material and significant breaches or potential breaches of regulations. Advise the board and senior management on compliance issues. Assist in regulatory reviews and liaise with regulators, auditors, clients concerning compliance matters. Provide and/or arrange to train staff (new joiners) on compliance requirements and provide/arrange for annual refresher training for existing staff. To undertake the investigations of any complaints. . Ensure that the firms training, and competence scheme operates effectively, including the annual fit and proper certification assessments under SM&CR. Maintain accurate records on the FCA directory and ensure annual attestation. Help manage the company through the Consumer Duty requirements as issued by the FCA. Any other duties as may reasonably be required. We are keen to speak to experienced individuals with a background in wealth management compliance. Someone who may be happy to hold SMF16 responsibilities now or in the future. Have excellent written and verbal communication skills. An independent thinker, with demonstrated good judgement, problem-solving and analytical skills. Experience of the FCA’s RegData and Connect systems. Good understanding of FCA rules. Part time hours between 2/3 days depending on candidate requirements.