Compliance and Team Manager

Posted 27 March by First Recruitment Services Limited Easy Apply

Our highly respected client in West Sussex is looking for a Compliance and Team Manager to work closely with their Client Support Director. You will be managing a team of 12 direct reports. With clients very firmly at the centre of the business, this role is critical in ensuring that they not only meet their client's high expectations - but exceed them.

You will need to have the ability to perform well under pressure, have outstanding organisational skill, great attention to detail, thoroughness and accuracy and the ability to plan workloads, manage conflicting demands and deadlines, with a keen and flexible attitude.

You will also be responsible for assisting in the development and implementation of our ongoing compliance program to meet regulatory requirements. This will involve policy development, training, monitoring, risk assessment, advising the business on compliance matters and issue remediation.

  • Compliance checking all pre-sale, high risk advice documentation - such as pension switches, investment transfers and tax calculations to ensure that all client paperwork obtained is being processed compliantly and in a timely manner
  • Completing sample checks on post sale and other advice documentation such as bed & ISA, cash investments and other documents as necessary
  • Completing new business submission sample checks
  • Producing management information for the activities detailed above. Collating and preparing reports for the Client Support Director and presenting findings in a meaningful way, ensuring the continuous interrogation of information and the identification of issues, trends and opportunities
  • Assisting the Client Support Director in liaison with regulatory agencies and internal and external requirements on compliance related matters (namely AML/KYC, COBS)
  • Working on other reports when required
  • Actively supporting and advising on relevant regulatory developments and requirements
  • Developing, maintaining and enhancing the compliance policies, controls, procedures, registers and processes
  • Looking at our regulatory risk and supporting its management, communicating regulatory change and establishing control frameworks as necessary
  • Leading, managing, supporting and developing the client support team and their performance in accordance with processes, policies, brand values and behaviours. Encouraging a culture of open and honest 2 way communication, whilst providing support to the team through sound, professional judgment
  • Building positive relationships and giving clear direction to team members in order to inspire them to hit targets that result in a performance driven, values led team
  • Allocating and managing the teams work - to ensure resource is planned and aligned correctly to meet agreed performance levels
  • Completing employee annual 1-2-1’s and sharing results and recommendations with the Client Support Director including training and development requirements
  • Managing HR issues including performance management, sickness and absence management, discipline and grievance management

Required qualifications and skills

  • At least diploma qualified with CII
  • Minimum 5 year’s experience in financial services
  • Good technical experience
  • Experienced Paraplanner or a very thorough understanding of:
    • both simple and complex financial products (defined benefit pension schemes, structured products)
    • the difference between client circumstances and client objectives and different types of objectives (immediate and long term, financial and non-financial)
    • how to make recommendations for financial objectives

o what’s involved in collating client information, preparing suitability reports, preparing illustrations and reports for client meetings, managing cases to completion and working with internal processing systems and the preparing and updating valuations, investments and pensions for client meetings

  • Experience in the review of code of ethics related compliance matters (i.e. personal account dealing, outside business interests, and gifts, benefits and entertainment)
  • You must be a clear, confident and enthusiastic communicator with the ability to engage and influence at all
  • Knowledge of data protection requirements
  • Initiative to develop own ideas and projects to assist in the ongoing development of our client proposition
  • Great communication skills and highly motivated, with the will to thrive in a challenging and fast paced environment and a strong team player

Desired qualifications and skills

  • Knowledge of Word, Excel, Outlook and fully IT literate
  • Knowledge and experience in working with provider platforms
  • Knowledge of financial services CRM systems

First Recruitment Services are acting as an employment agency in relation to this vacancy.

Reference: 34254892

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