Compliance Manager - Wealth Management

Posted 27 February by North Oak Recruitment Ltd

Compliance Manager (Wealth Management / IFA environment)

Nottingham (Our Ref AL820)

Salary to c£45,000 pa

Our Client is well established and award winning Nottingham based firm of Independent Financial Advisers. They now have an exciting vacancy for an experienced Compliance Manager to join their team. The successful candidate will be motivated and proactive and will have held a similar role within the wealth management sector.

Day to day, the role will involve the following responsibilities:

  • Monitor and interpret regulatory and data protection changes
  • Maintain policy statements and incorporate regulatory change where appropriate
  • Maintain positive relations with the FCA
  • Deliver regular staff updates and training
  • Complete Gabriel returns
  • Monthly reporting 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 Person:

  • Previous experience working as a Compliance Manager within an IFA environment.
  • Ideally you will be Level 4 / Diploma Qualified, although this is not essential.

If this role is of interest and you have the required background, then please apply in confidence with an up to date CV or call Angela Liscombe at North Oak Recruitment for a further discussion.

Required skills

  • Compliance
  • Financial Services
  • Regulatory Requirements
  • Wealth Management

Application questions

Have you worked within wealth management?
Have you worked within compliance in a regulated environment?

Reference: 34566305

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