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Compliance Manager

  • Location


  • Sector:

    Regulatory, Risk & Compliance

  • Job type:


  • Salary:

    £35000 - £40000 per annum, Benefits: Competitive Benefits

  • Contact:

    Joanne McPherson

  • Contact email:


  • Contact phone:

    0113 274 3000

  • Job ref:


  • Published:

    about 2 years ago

  • Duration:


  • Expiry date:


  • Startdate:


  • Consultant:


Does the thought of being the right hand person to a Company Director and holder of the CF10 appeal to you?  Do you want to be part of a highly respected and quality wealth management business?  Do you want to take ownership and make an impact?
If so this may be of interest, a well established and trusted Wealth Management firm based on the outskirts of Manchester,  is looking to appoint a Compliance Manager to work in partnership with their CF10 Director.
Your core duties and responsibilities would be as follows:
·         Compliance monitoring and conducting file review activity including both pre and post-sale checks in an IFA setting
·         Feeding back to advisers in a constructive and timely manner to ensure quality standards are embedded into the advice process
·         Implementing remedial actions and following up to ensure completion and ownership
·         Identifying trends and collating data to share with the T&C Supervisor and wider compliance function including core KPI’s
·         Preparing 121’s and documentation for T&C Supervisors and providing ad-hoc support when required
·         Reviewing processes, systems and controls and being aware of emerging risks, regulatory updates and the potential impacts
·         Managing relationships with 3rd party compliance providers and consultants
·         Working closely with the Director to drive the overarching compliance strategy forward
You will ideally have the following skills and experience:
·         Demonstrable track record of providing compliance support within an IFA or restricted setting, business quality assessment and file reviews for advisers would be advantageous
·         Part QCF Level 4 as a minimum, though the full Diploma would be preferred
·         Current and thorough knowledge of the advice process, the FCA handbook and regulatory guidelines including systems and controls
·         Experience of complaint handling, financial promotions would be of value though this can be developed
·         Detailed and logical approach to work with a keen eye for detail and the ability to disseminate complex information
·         Skilled communicator with the ability to deliver constructive feedback and challenge in a positive and engaging manner
·         Competent with FS back office systems and the Microsoft suite of products e.g. Word & Excel
This is a key appointment for the business and will give hands on experience to the many diverse areas of compliance and the scope to work in partnership with a Board level Director.  There may be opportunity for a variety of working patterns to suit the preferred candidate including part time or full time hours.
You will enjoy a competitive basic salary and benefits package, be part of a driven yet friendly team of people, be involved with numerous team building and social events.
Should this opportunity catch your eye please click the ‘Apply’ button, or, alternatively send your CV to apply.a33wmm8jsw@bwd-search.aptrack.co.