We are pleased to be recruiting on behalf of a leading chartered financial planning firm in the City seeking to further expand their compliance team with the appointment of a Compliance Manager to help shape the next stage of their growth, ideal for someone either moving into their first managerial role, or someone from an existing one.
Candidates will be responsible for:
- Development, implementation, and ongoing maintaining of compliance policies, procedures and controls to manage regulatory risk.
- Ensure team compliance with FCA rules and regulations,
- Acting as the main contact for the regulator and managing all submissions, reporting, and inspections.
- Conduct file reviews, risk assessments, audits etc and provide guidance and training to staff where needed,
- Work with colleagues to design and deliver compliance training, documentation and marketing materials.
Experience required:
- Demonstrable compliance experience within wealth management and broader financial services
- Strong knowledge of regulatory frameworks and FCA rules
- Proven experience in risk assessments, compliance monitoring, training etc.
- Previous management or supervisory experience as well as an ability to build effective relationships with senior management and colleagues.
- Ideally candidates will be qualified to Level 4 Diploma in Financial Planning and hold relevant compliance, legal, or risk qualification (e.g. ICA, CISI, or equivalent), desirable.
In return our client is offering a competitive basic salary and an excellent benefits package as well as plenty of scope for development and progression within this expanding organisation.