Compliance Manager – Warwick or Birmingham

recruitukltd Salary: £35,000 - £45,000

I’m proud to be working with a client focussed financial advice firm who are enjoying organic growth through attracting High Net Worth Clients to their organisation. This is a team that pride themselves on their open and honest approach to business and indeed the advise process. A relatively young company that has seen phenomenal growth since their inception.

This is a financial advisory business devoted to helping individuals with their financial planning needs. Their team of independent financial advisers and dedicated client managers provide client focussed advice in all aspects of financial planning. Aided by in-house investment analysis and portfolio construction they provide tailored solutions and ongoing investment management to assist their clients in achieving their financial objectives. They pride themselves on service and aim to be recognised as one of the very best advisory businesses in the industry.

The Compliance Manager will play an integral part in ensuring advice and service is provided in the most compliant manner.

Main Tasks/Responsibilities

  • To monitor the regulatory environment using outputs from key bodies and regulators including the FCA, the ICO, FOS and Institute of Risk Management
  • Aid and assist the compliance introduction of new advisers to the company
  • Support the Risk and Compliance director in refining and embedding the three lines of defense model in risk and compliance management
  • Provide support to the business to ensure the ongoing development of the compliance culture throughout the business
  • Provide oversight to support all employees in their responsibilities to comply with FCA/PRA regulations
  • Monitor the business activities and provide feedback to staff in relation to compliance with relevant legislation, such as Data Protection, Anti-Money Laundering Regulations and Bribery Act
  • Support the risk and compliance Director in providing assurance to the Board around the delivery of good customer outcomes
  • Develop and implement an annual compliance monitoring program
  • Monitor the adherence to regulatory policies and effectiveness of the T&C schemes, providing improvements where necessary to both behaviors and processes, which involves case checking and appointment observations

What they are looking for:

  • Diploma Level 4 qualified or equivalent as a minimum requirement
  • Advanced DipFA level 6 or equivalent
  • Advanced Diploma in Financial Planning AF3 or equivalent or appetite to study for
  • qualification
  • Previous experience of working within an FCA regulated environment, ideally within an
  • advisory firm
  • Cemap qualified
  • Excellent knowledge of the various financial services products including Pensions, EquityRelease, Wills, Investments – qualifications to support knowledge in these areas preferred
  • Experience of General Data Protection Regulation (GDPR)
  • Demonstrable experience of regulatory audit – face to face of thematic in nature


What’s in it for you?

  • A genuine focus on work life balance
  • 9.30 – 5.00
  • Immediate start
  • 22 days holiday, plus Christmas period
  • Pension scheme
  • Private Medical Insurance


For more information on this role, please contact Russell Davies at Recruit UK on 01179-170418. Quote reference 12353

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