Compliance Manager

Contract Personnel Ltd; South Kesteven; On-site; GBP 40,000 - 60,000; Full time

Job summary

A major recruitment agency is looking for a Compliance Manager to ensure adherence to new regulations in a financial firm. The role involves monitoring compliance standards, conducting regular checks, and providing training for staff. Ideal candidates will have experience in financial services and hold a relevant financial planning diploma.

Qualifications

• Experience in a similar position within the financial services industry.
• Ability to work independently or in a team environment.
• Clean UK driving licence required.

Responsibilities

• Maintain, update and monitor compliance standards.
• Conduct high-risk advice checks and file-checks.
• Train and onboard new financial planners.

Skills

Excellent communication skills

Interpersonal skills

Time management skills

Self-discipline

Education

Diploma in Regulated Financial Planning by the CII or equivalent

Job description

Overview

Our client is seeking a Compliance Manager. This role will be instrumental in ensuring to our clients firm continues to be compliant with new regulations and guidance, including the completion of regular file checks and competence assessments. Supporting the growth of our clients Financial Management.

Responsibilities

• Maintain, update, and monitor compliance standards including written policies and procedures
• Conduct high-risk advice checks and file-checks to ensure the firm is meeting its regulatory obligations and achieving excellent standards of compliance
• Monitor adherence to file review feedback, ensuring all outstanding items are completed in a timely manner
• Provide technical updates and support to team members as required
• Maintain knowledge of regulatory developments and rule changes to support the firm’s adherence to high levels of compliance
• Advise management of changes in respect of regulatory issues and any other related issues
• Arrange and deliver relevant training to team members with respect to regulation and compliance
• Train and onboard new financial planners, including certifying competency
• Conduct regular competence assessments across the financial planner team
• Other general duties as requested from time to time commensurate with skills, experience and status

Qualifications

• Experience in a similar position within the financial services industry
• Must possess excellent communication, interpersonal, presentational and relationship building skills, with the ability to raise appropriate questions to the clients
• Good organisational, administrative and time management skills
• Must be self-disciplined and motivated with the ability to work alone and unsupervised or within a team environment when appropriate
• At a minimum must hold the Diploma in Regulated Financial Planning by the CII (or equivalent)
• Must hold a clean UK driving licence