At a Glance
- Tasks: Support compliance framework and conduct monitoring reviews in a dynamic financial services environment.
- Company: Well-respected IFA with a strong commitment to compliance and professional standards.
- Benefits: 12-month contract with potential for extension, competitive salary, and supportive team culture.
- Other info: Flexible working with 4 days in the office and one day remote; driving required for office visits.
- Why this job: Make a real impact by promoting a positive compliance culture and ensuring regulatory adherence.
- Qualifications: Level 4 Diploma in Financial Planning and experience in compliance management within financial services.
The predicted salary is between 40500 - 49500 £ per year.
We are recruiting for a well-respected IFA seeking to recruit a Compliance Manager for a period of 12 months with a possibility of longer. Duties will include:
- Support the development, implementation and maintenance of the firm’s compliance framework, policies and procedures
- Monitor regulatory developments and assess their impact on the business
- Conduct compliance monitoring reviews, file reviews and thematic assessments
- Provide regulatory advice and guidance
- Assist with regulatory reporting
- Review and respond to complaints in line with our complaints procedure
- Oversee compliance risk assessments and provide mitigation advice
- Support the delivery of training on compliance and professional standards
- Investigate compliance breaches and manage client complaints
- Prepare compliance and MI reports for the Board
- Promote a positive compliance culture
You must have a Level 4 Diploma in Financial Planning (or equivalent) with proven experience in a Compliance Manager or senior compliance role within the Financial Services sector including a strong grasp of FCA rules & financial advice standards and experience conducting compliance monitoring & risk assessments (not just file reviews as already have a team member performing such). The role is 4 days per week in the office and one day at home but as you may need to visit other offices in the Manchester area, you should be a car driver.
12 MONTH IFA COMPLIANCE MANAGER CONTRACT – LEVEL 4 QUALIFIED WITH COMPLIANCE MONITORING EXPERIE[...] in Manchester employer: Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
Join a well-respected IFA that values compliance and integrity, offering a supportive work culture where your expertise will directly contribute to the firm's success. With a focus on employee growth, you will have opportunities to enhance your skills through training and development while enjoying a flexible working arrangement that includes both office and home-based work. Located in the vibrant Manchester area, this role not only provides a chance to make a meaningful impact but also allows for collaboration with a dedicated team committed to promoting a positive compliance culture.
Contact Details:
Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) Recruitment Team
