Compliance and Business Manager

Posted 17 July by Elliott James Recruitment
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Compliance and Business Manager



Excellent opportunity to join a leading Financial Planning Firm in varied role involving both Compliance and Business Management The successful candidate will provide direction to the business in all aspects of relevant regulatory compliance along with managing the workload of both the Paraplanning an administration teams. An excellent career move for an experienced compliance manager.

Key responsibilities

Setting up a framework of compliance monitoring and carrying out compliance monitoring activities

Developing MI for the business on outcome of reviews

Providing feedback to the Financial Planners on outcome of reviews.

Maintaining knowledge of the current regulatory environment.

Identifying compliance risks.

Reviewing policies and procedures to ensure they comply with current legislation

Assisting with employee training.

Identifying staff issues and responding to their requirements

Assist with Reporting

Assist with management of complaints in line with FCA requirements

Carrying out Due Diligence checks on providers

Reviewing current/future regulatory changes and providing recommendation to the business on likely impact.


Good knowledge and understanding of FCA regulations

Excellent Knowledge of the FCA Handbook and regulatory requirements.

Ability to communicate at all levels

Ability to identify key issues and multi -task under tight deadlines

Ability to perform multiple tasks in a fast-paced team environment and work as a team player

Proficient in Outlook, Word, PowerPoint and Excel

If your skills and experience match this role, please forward your CV in a word format Elliott James Recruitment is acting as an Employment Agency in relation to this vacancy

Reference: 40615549

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