Wealth Management Compliance Manager

ZipRecruiter; England; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading company in financial services is seeking a Compliance Manager to ensure compliance with regulations and support team development. The role involves monitoring standards, conducting assessments, and providing training to ensure excellence in compliance practices. Candidates should have experience in the financial services industry and the necessary diploma in regulated financial planning.

Qualifications

• Experience in a similar position within the financial services industry.
• Strong communication and relationship-building skills.
• Ability to work autonomously or in a team.

Responsibilities

• Maintain and monitor compliance standards including policies and procedures.
• Conduct file-checks to ensure regulatory obligations are met.
• Train and onboard new financial planners, certifying competency.

Skills

Communication

Interpersonal Skills

Organizational Skills

Time Management

Self-discipline

Education

Diploma in Regulated Financial Planning

Job description

Job Description

Castlegate is seeking a Compliance Manager. This role will be instrumental in ensuring the firm continues to be compliant with new regulations and guidance, including the completion of regular file checks and competence assessments. Supporting the growth of Castlegate Financial Management and the wider Duncan & Toplis Group.

Your responsibilities

Here's a bit more on what you can expect to be doing day-to-day:

• 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

About you

We think you’ll need the following experience and qualifications to succeed in the role:

• 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.