COMPLIANCE MANAGER - DERBY - £35K

My client is looking for a compliance manager due to growth. The ever expanding compliance department has had a restructure and we are looking for capable manager to become a valued member of the team. 

We will be needing you to manage the Recruitment Support function to ensure all adviser, business and introducer paperwork is processed and vetted through to appointment

Ensuring ongoing fitness and propriety of all advisers, business principals and staff

Ensuring financial monitoring requirements of firms and advisers is met

Managing the Sales Quality to team to ensure business checks are met to meet the requirements of the business and the T&C Scheme

You must be along the lines of... 

Currently work in a compliance environment in financial services and be experienced in managing teams to deliver to specific deadlines

• Have a full understanding and working knowledge of all areas of compliance - eg Complaints, Financial Promotions, T&C Schemes, Supervision of advisers,
• Have a full working knowledge of the MCOB and ICOB rules
• Hold full FCP and CEMAP or equivalent
• Have excellent written and oral communication skills and the ability to interact at all levels
• Be a team player
• Have enthusiasm and be able to drive change forward

The package and whats on offer...

• Salary circa £35k per annum
• Stakeholder Pension Scheme
• Death in Service benefit
• 25 days annual holiday rising to 28 days