Compliance Manager

Posted 2 January by Heat Recruitment
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The Client:

My client is a highly reputable financial planning network that pride themselves on the personal touch that they provide their clients. They offer tailored financial solutions on a range of financial products for both private and corporate clients. The firm have an excellent staff retention rate and boast a fantastic working environment to go along with a competitive salary package, with excellent bonus and benefits on top.

The Opportunity

We are currently recruiting for an experienced Compliance Officer / Compliance Manager on behalf of a firm of Independent Financial Advisers based in Plymouth, although the firm has Advisory staff throughout the UK. This is a fantastic chance to build a career in a well-established IFA firm. You will be given the chance to work closely with the firms IFA’s as well as overseeing and improving the Compliance procedures. You will also be offered the chance to study towards gaining further financial services qualifications should you want to and have the chance to take on the CF10 / CF11 function.

What’s needed for me to be considered?

  • Strong experience in an IFA firm
  • Level 4 diploma qualified as an ABSOLUTE minimum
  • Existing experience in Financial Services compliance or risk control.
  • Experience holding CF10 & CF11 function is advantageous
  • Experience of working with bespoke software packages used for financial Planning and support
  • Previous experience in a Paraplanning or Advisery capacity will be considered

What next?

Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.

Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.

Job Synonyms:

Compliance Officer, Compliance Manager, T&C

Required skills

  • Compliance
  • Financial Services

Reference: 36340081

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