Compliance Manager

JR United Kingdom; Nechells; On-site; GBP 50,000 - 80,000; Full time

Job summary

Une firme indépendante d'experts-conseils financiers recherche un Compliance Manager pour diriger et gérer la fonction de conformité. Ce poste implique de garantir que les conseils, politiques et pratiques respectent les régulations FCA. Le candidat idéal aura une expérience en conformité et un diplôme approprié.

Qualifications

• Expérience avérée dans un rôle de conformité au sein d'une IFA ou d'une société de planification financière.
• Diplôme minimum de niveau 4 en planification financière (ou équivalent).

Responsibilities

• Surveiller le cadre de conformité de l'entreprise et assurer le respect des règles FCA.
• Effectuer des vérifications et contrôler l'adéquation des conseils aux clients.
• Développer et mettre à jour les politiques et procédures internes.

Skills

Risk Assessment

Policy Development

Regulatory Compliance

Training

Education

Level 4 Diploma in Financial Planning

Job description

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? Competitive salary depending on experience

Our client is a well-established and client-focused Independent Financial Adviser (IFA) firm, dedicated to providing tailored financial advice with integrity, transparency, and professionalism.

They are looking for a Compliance Manager to lead and manage the Compliance function.

As Compliance Manager, you will be responsible for ensuring the firm’s advice, policies, and practices comply with FCA regulations and industry best practice. Working closely with senior management, you will play a vital role in safeguarding their clients and supporting the firm’s continued success.

Role & Responsibilities:

1. Oversee the firm’s compliance framework and ensure adherence to FCA rules and regulations.
2. Conduct file reviews and suitability checks on client advice.
3. Monitor and implement regulatory changes, communicating requirements across the business.
4. Develop and update internal policies and procedures.
5. Maintain accurate and up-to-date compliance records and registers.
6. Provide training and guidance to advisers and staff.
7. Liaise with external compliance consultants and the FCA as needed.
8. Assist in handling complaints and reporting breaches and regulatory issues.
9. Support the firm with ongoing SM&CR and Consumer Duty obligations.

Do you have the following to apply?

• Proven experience in a compliance role within an IFA or financial planning firm.
• Minimum Level 4 Diploma in Financial Planning (or equivalent).

Due to the high volume of applications received, we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.