Description

12 MONTH IFA COMPLIANCE MANAGER CONTRACT - LEVEL 4 QUALIFIED WITH COMPLIANCE MONITORING EXPERIENCE REQUIRED

£50,000 - £55,000 + GOOD BENEFITS NTH MANCHESTER/PRESTON

REF:4196D

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;

1. Support the development, implementation and maintenance of the firm's compliance framework, policies and procedures
2. Monitor regulatory developments and assess their impact on the business
3. Conduct compliance monitoring reviews, file reviews and thematic assessments
4. Provide regulatory advice and guidance
5. Assist with regulatory reporting
6. Review and respond to complaints in line with our complaints procedure
7. Oversee compliance risk assessments and provide mitigation advice
8. Support the delivery of training on compliance and professional standards
9. Investigate compliance breaches and manage client complaints
10. Prepare compliance and MI reports for the Board
11. 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 4d pw office and one day at home but as may need to visit other offices in the Manchester area, you should be a car driver. So, if that sounds like you, then please send your details to our MD, David Symes FCA, at
mailto:david@compliancerecruitment.com

however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.