Compliance Manager

MERJE Ltd; York and North Yorkshire; On-site; GBP 50,000 - 70,000; Full time

Job summary

A rapidly expanding Wealth Management firm in York and North Yorkshire is seeking an experienced Compliance Manager to support the Head of Compliance Advisory. You will manage a team, ensuring compliance with regulations and the effective implementation of Consumer Duty. The ideal candidate will have 3-5+ years in compliance management and a strong understanding of FCA regulations. This position will involve significant reporting and oversight responsibilities.

Qualifications

• Minimum 3 to 5+ years in a senior compliance role.
• Experience managing compliance teams and developing regulatory frameworks.
• Strong understanding of FCA requirements and Consumer Duty.

Responsibilities

• Manage a dispersed team of compliance professionals.
• Collate and analyse compliance MI for reporting.
• Lead implementation of Consumer Duty and regulatory adherence.
• Ensure AML frameworks are effective and current.
• Support auditable systems for clear communication review.
• Oversee CMP for regulatory coverage and risk mitigation.

Skills

Compliance management

Team leadership

Regulatory reporting

Risk mitigation

Job description

Our client is a rapidly expanding Wealth Management firm who are looking for an experiencedCompliance Managerto join the team.

As Compliance Manager you will support the Head of Compliance Advisory and ensure consistent adherence to regulatory obligations across our national adviser network.

The role will involve taking responsibility for the following:

• Manage a geographically dispersed team of compliance professionals, fostering consistent standards and collaborative working practices across the UK
• Collate and analyse compliance MI for reporting to the Head of Compliance Advisory and escalation to relevant committees and governance forums and when required represent the Head of Compliance Advisory
• Lead the operational implementation and continuous oversight of Consumer Duty, ensuring adherence to the FCA’s expectation and demonstrable delivery of good outcomes for clients
• Ensure AML frameworks are up to date, effective and followed across the firm; support AML training, suspicious activity reviews and policy adherence
• Supporting the auditable system ensure clear fair and not misleading communications are reviewed and approved on a timely basis
• Ownership and execution of the CMP to ensure regulatory coverage and risk mitigation across all business areas.

Key Requirements

Minimum 3 to 5+ years in a senior comp...