Compliance Manager – Financial Advisory Group
| Job Type | Permanent full-time |
| Location | staffordshire |
| Area | Staffordshire, England |
| Sector | Wealth ManagementFinancial Advisory |
| Salary | £50000 - £55000 |
| Start Date | |
| Advertiser | Richard Garbett |
| Telephone | 01635261850 |
| Job Ref | 3457452 |
| Job Views | 350 |
- Description
- Compliance Manager – Financial Advisory Group
Staffordshire (North of Stoke-on-Trent) £50,000-55,000 + package.
A leading local Financial Services Practice with offices located in the heart of Staffordshire are looking to recruit a compliance manager. This all encompassing role, will involve the management of all compliance duties, T&C oversight and general practice legal tasks.
The company pride themselves on the high-quality advice they provide to long standing clients and new clients who come through referrals and recommendations. With nine advisors they have a thriving professional practice and are looking for a compliance manager who will complement the business.
Specifics of the role will include –
- Provide full T&C oversight and management including supervision of advisers, adviser risk assessments, annual fit & proper checks, recertification of staff, KPI appraisals and trainee adviser development plans.
- Implement all regulatory change projects, ensuring the practice is aware and trained on all aspects.
- Complete file reviews for Advisers, provide feedback when required and ensure high risk advice follows correct protocols and oversight.
- Produce quarterly and annual compliance reporting for Director’s review. Provide regulatory advice to the investment committee.
- Have control of the practice’s compliance processes, framework, action plans and regulatory reporting.
- Act as the key point of contact for all external compliance enquiries, risk assessments and complaints.
- Develop and manage all practice policies and procedures including GDPR, CIP, CRP, conflicts of Interest, governance, LEI renewal etc.
- The role may also carry additional responsibilities around recruitment, onboarding, employment contracts and provision of employment advice.
The company feel this role would be suited to a Compliance professional who is comfortable acting on their own initiative and managing the compliance function with a high degree of independence. It will therefore be necessary to display excellent knowledge and experience, and it would be preferable for the successful individual to hold a level 4 diploma and be willing to demonstrate qualifications and knowledge equivalent to the advisers.
This is an excellent opportunity to join a welcoming, highly professional practice where you will have significant input and be able to make the role and function your own. The company are happy to consider a range of working arrangements for the right person.
For more information, please contact Richard Garbett.