Are you looking for an office-base (flexible) role earning up to £45,000, a generous benefits package including medical insurance. Do you have what it takes to excel in the role of Compliance Manager? Can you deliver high levels of compliance standards and create positive client outcomes? Then look no further
This fast moving, dynamic and UK-based Financial Group, specialises in providing wealth management services and investment research. They are always looking for new ways to support clients and pride themselves on creating sustainability and positive outcomes for employees and clients alike
Does this describe you?
- Experienced in managing compliance within an IFA business
- Minimum Level 4 Diploma qualified, or working towards
- Professional, proactive, with a positive attitude and an ability to multi-task, keeping calm in a constantly moving environment
- Flexible and pragmatic in managing risk, with excellent communication skills
- Self-organised, prioritising workload to meet agreed deadlines and delivering multiple complex workflows
- Efficient, thorough and forward thinking
- Passionate about providing and presenting accurate, detailed and high-quality MI analysis
Your role
- Developing and delivering the Compliance Programme, identifying improvements or weaknesses and presenting sustainable solutions
- Managing compliance activities, monitoring and maintaining regulatory registers, identifying issues, risks and breaches
- Handling and investigating client complaints through to resolution
- Managing the annual compliance diary, ensuring regulatory and business timescales are met
- Regulatory and Gabriel returns and overseeing Adviser onboarding
- Implementing action points from external compliance audits and keeping up to date with regulatory requirements, embedding changes where necessary
- Assisting in the compliance improvement programme, completing ad hoc projects where required
This really is an exciting opportunity for an ambitious, energetic and motivated individual to join an exciting, growing organisation who can offer job security, a competitive remuneration and an excellent benefits package along with a welcoming and friendly working environment