At a Glance
- Tasks: Support and enhance compliance framework, ensuring adherence to FCA regulations.
- Company: Award-winning Chartered Wealth company with a focus on development.
- Benefits: Career progression opportunities and the chance to become a key compliance leader.
- Other info: Ideal for those looking to grow into a senior compliance position.
- Why this job: Join a dynamic team and make a real impact in financial compliance.
- Qualifications: Experience in compliance or regulatory roles within financial services is essential.
The predicted salary is between 50000 - 60000 £ per year.
James Phillip Recruitment are working with a local award winning Chartered Wealth company looking to take on a Compliance Manager.
The Compliance Manager is responsible for supporting and enhancing my clients compliance framework, ensuring the firm operates in accordance with all applicable FCA regulations, industry standards, and internal policies.
The role is designed as a key succession and development position within the firm.
The successful individual will be expected to progressively assume greater responsibility for the oversight of the compliance function, with the long-term objective of becoming the firm's SMF16 (Compliance Oversight) Function holder, subject to regulatory approval and demonstrating the necessary competence, capability, and experience.
Main roles - Regulatory Compliance Compliance Monitoring of their Chartered advisers Uphold Consumer Duty and client outcomes Deliver training Regulatory reporting Skills, Knowledge Experience Essential
- Experience within a compliance, risk, or regulatory role in a financial services environment.
- Strong understanding of FCA regulation and the UK financial advice/wealth management sector.
- Excellent analytical, organisational, and communication skills.
- Ability to work independently and influence stakeholders across the business.
- Strong attention to detail and p...
Compliance Manager employer: James Phillip Financial Recruitment
Join a local award-winning Chartered Wealth company that prioritises employee growth and development, offering a clear pathway to advance into key leadership roles such as the SMF16 Compliance Oversight Function holder. With a strong commitment to compliance excellence and a supportive work culture, employees benefit from ongoing training, a collaborative environment, and the opportunity to make a meaningful impact in the financial services sector while upholding the highest industry standards.
Contact Details:
James Phillip Financial Recruitment Recruitment Team
