We’re working with a highly successful and growing financial planning organisation that is looking to strengthen its specialist M&A capability with the appointment of a Compliance Manager.
Working as part of the acquisitions function, you will assess financial advice businesses ahead of potential transactions, building a clear picture of their regulatory history, advice practices and potential areas of exposure. You will then help ensure any issues identified during the assessment process are appropriately addressed as businesses join the wider group.
Role & Responsibilities:
Carrying out detailed regulatory assessments of financial planning and wealth management businesses prior to acquisition
Reviewing a broad range of information to understand the compliance history and risk profile of each business
Interrogating management information and client data to spot trends, anomalies or areas requiring further investigation
Identifying areas of historic advice that may present increased regulatory or client risk
Working alongside advice/file review specialists to understand whether individual findings point towards wider systemic issues
Comparing information from different sources to identify gaps, contradictions or areas where further evidence is needed
Assessing the significance of findings rather than treating every technical breach as carrying the same level of risk
Presenting clear conclusions and recommendations to senior decision-makers
Highlighting significant concerns early enough for them to be considered as part of the transaction
Helping establish appropriate remediation or post-acquisition actions where required
Working closely with colleagues across compliance, legal, finance and operational teams throughout the acquisition process
Engaging professionally with owners and senior employees of businesses going through due diligence
Supporting the continued development of the organisation’s acquisition and due diligence processes
Do you have the following to apply?
Minimum Level 4 Diploma in Financial Planning (or equivalent)
Strong experience within UK financial advice or wealth management compliance
Experience in areas such as...
Compliance Manager employer: Clayton Davies Ltd Careers
Join a leading wealth management firm that prioritises client satisfaction and professional development. With a full client bank to inherit, you will thrive in a supportive environment that encourages continuous learning and adherence to the highest standards of financial advice. Enjoy a culture that values integrity and excellence, providing you with the tools and opportunities to grow your career as an Independent Financial Advisor.
Contact Details:
Clayton Davies Ltd Careers Recruitment Team
