Recruit UK

Compliance Monitoring Manager – Bristol

Recruitukltd Salary: Up to £45K

Recruit UK are currently looking for a Compliance Monitoring Manager to join this multi award winning wealth management firm in Bristol. The main purpose of the role will be to provide risk management and consultancy to the Area Manager and Head of Business. This role is a unique and rewarding role that comes with many benefits such as private medical insurance, life assurance, a share incentive plan, bonus sacrifice arrangements not to mention the opportunity to work within the ‘2015 Wealth Management Company of the Year’.

You will be responsible for:

  • Implement corporate policy regarding regulatory requirements (compliance procedures) to effectively identify and manage the key risks (and monitor the low risks) within the Business.
  • Undertakes regular financial review and monitoring across the Partnership
  • Support, coach and develop the Partnership and others within the team to improve levels of risk awareness, ethics and quality commitment.
  • Ensure the Head of Business and Area Manager Business Risk are kept informed of all emerging risks within the Business.
  • Works with the Location Management Team to ensure the Business Units key risks are managed and appropriate supervision is undertaken of the Partners
  • Provides feedback and coaching in relation to the outcome of Partner Compliance visits
  • Investigates any issues that arise from feedback from the business
  • Use Management Information provided, performs trend analysis and monitoring for early identification of risk for Business.

The ideal candidate for this role will have ability to communicate with people at all levels. You must be able to provide constructive feedback and coaching and have good analytical and decision making skills. It is essential that you hold the Level 4 diploma in financial planning or be close to obtaining. We hope to gain someone who is able to work under pressure and meet deadlines and be PC literate on things such as Microsoft office.

As well as a generous benefits package this role also comes with a salary of £35k-£40k depending on experience. My client will also allow you £4,400 in car allowance to help with transport.

If you would like to hear more about this role please contact our senior consultant Louise Sheppard on 01179 170 411 and quote reference 2879.

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