Our Client is an established and well known firm of Independent Financial Advisers based in the East Midlands. Due to continued success in providing fee based advice to HNW clients, this successful firm requires a professional and proactive Compliance Manager to provide a compliance function to the IFAs and Paraplanners.
This is a great role for a motivated and confident individual who has a passion for the Financial Services sector; you should also be driven and assured with your internal and external communications, strong relationship building abilities and a keen interest in compliance.
The successful candidate will have in depth knowledge and understanding of the Financial Planning process; have experience in a senior compliance role.
Duties for this role will include:
- Maintain positive relations with the FCA
- Monitor and interpret regulatory and data protection changes
- Maintain policy statements and incorporate regulatory change where appropriate
- Deliver regular staff updates and training
- Complete Gabriel returns
- Monthly report to the board
- Manage, maintain and give effect to the Compliance Monitoring Programme
- Continually monitor and improve service and compliance procedures
- Identify training programme for Consultants to maintain areas of authorisation
- Ensure CPD, SPS, T&C scheme delivered
- Maintain and report on KPI’s
- Observe client meetings
The successful candidate will need to have previous experience working as a Compliance Manager within an IFA environment. Ideally you will Level 4 / Diploma Qualified, although this is not essential.
This is an excellent role within a forward thinking and innovative firm who are continually looking to improve and develop the services which they offer to their clients. In return, you will receive a generous basic package and the support to develop your skills and further your career.
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