UK & International Compliance Manager
After a period of consolidation Forth Capital is looking for an experienced International Compliance Manager. Reporting directly to the CEO, you will play a key role in the evolution of this well-established international financial advice firm as it enters a new growth phase.
Forth Capital
Established in 2004, Forth Capital provides award winning international financial planning, wealth management and pension transfer advice to British expats, with clients in more than 53 countries worldwide.
With offices in Edinburgh, Texas, Geneva, Sydney, Dublin, Dubai and Hong Kong we have been helping our clients achieve their financial goals for the past two decades.
Our UK and international licences enable our advisors to provide the right solutions for our expat clients around the globe.
Key Responsibilities:
- Monitor the activity of our advisory (and paraplanning) team writing Pension Transfer business on our UK licence, to ensure that all deals and all processes are FCA compliant protecting the business as well as adding value to the advice team.
- Implement robust compliance governance to protect our International and UK licenses while maintaining an advisory mindset.
- Liaise with external UK and International Compliance companies to review and develop control systems and internal policies, on an ongoing basis.
- Liaise with local regulators when required in jurisdictions where licenses are held.
- SMF16 Compliance Oversight role.
- SMF17 Money Laundering Reporting Officer (MLRO) role.
Required Skills
- Ability to work under pressure and to deadlines.
- Excellent record keeping with high level of attention to detail and accuracy.
- Strong verbal, written communication, and stakeholder management skills.
- Familiarity with back-office systems (ideally Xplan), investment platforms, and cash flow modelling systems.
- Strong people skills.
Required Experience
- 5+ years’ experience as a senior compliance manager [and a minimum of 10 years’ working] at an FCA-regulated or international financial advice firm.
- A thorough understanding of the current UK pensions and investment landscape.
- Knowledge of international advice to British Expats and expat financial products desirable.
Required Qualifications
- Qualified to hold SMF16 Compliance Oversight role.
- Qualified to hold SMF17 Money Laundering Reporting Officer (MLRO) role.
- Pension Transfer Specialist qualification desirable.
Location
- Remote or Office based.
Package
- Excellent Salary (dependent on experience).
- Equity ownership potential after 3 years’ service.
- Normal office hours – can be flexible.
