Compliance / File Review Manager

Posted 23 June by Exchange Street Financial Services
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With a newly created job you can get a bit of vagueness. There might be a focus on the outcome the firm wants but the 'how' is dependent on who takes up the role.

But that vagueness can be a compelling argument to join a firm. After all, it means the job is shaped around you and the skills you have. You can take the role in your own direction. You can design the outcome. You can oversee the evolution of the business.

And that's what you'll do here.

You'll be formalising a position done at present by the directors. They are developing the business and need someone to step in and carry out a distinct compliance role for them.

Whilst the job will be shaped around you, it will cover aspects such as file review, observations, 1-1s and SM&CR. You'll also be assessing current procedures and practice. If it needs changing then it will be you who designs and rolls it out.

In short you'll be helping the advisers do their job to the best of their ability. And ensure client outcomes are what they need to be.

You'll need to be level 4 qualified (LIBF, CII or CISI) and have a background in file review, compliance and/or T&C.

You'll be comfortable dealing with established advisers and be able to influence how they work. You will be someone who likes to work in collaboration with others. After all, it's a small, tight-knit firm where values/ethics are already great. It's about tweaks rather than big change.

This could be a full time position or a part-time one. It depends on you. And whilst they're Sale based it is not a job that needs you in the office 9-5.

So if you're full of ideas and knowledge but restricted where you are, click apply. We know the firm inside out and can answer all your questions.

Required skills

  • Compliance
  • Financial Planning

Reference: 44870381

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