Job Details

Job Title: Compliance Manager

Industry: Financial Services

Location: Lincoln

Salary: £40,000-£55,000

 

Job Description: 

Recruit UK are working on an excellent opportunity for a Compliance Manager in Lincoln to join an independent financial consultancy.

I’m proud to be working with an independent financial consultancy with a regional presence, they pride themselves in providing long-term ongoing assistance and take real care and value in servicing their clients. They have great relationships with other professionals of their clients – their aim is to assist their clients throughout the course of their entire lives.

They have a number of Chartered advisers and provide advice on investments, pensions, tax planning, estate planning as well as other insurances. This firm is a fully independent company that provide whole of market advice to clients, they are immensely proud of their long-standing relationships with clients and with 30 years working within the financial services industry, they always strive to do the best they can.

They are currently looking to bring on a Compliance Manager to join their existing team in their office near Grimsby. This role will play an integral part in ensuring advice and service is provided in the most compliant manner. The ideal candidate will have a strong understanding of SYSC, have a responsibility of Compliance and Money Laundering, whilst also overseeing all the departments in the firm for Risk, Supervision and Technical/Advice abilities.

 

Main Tasks/Responsibilities 

  • Comply at all times with the relevant Compliance and Training and Competence procedures of the firm, in maintaining fit and property (FIT).
  • Provide leadership, for example by making the fair treatment of customers central to the behaviour and values of the firm.
  • Ensure that the firm continues to meet its threshold conditions (COND).
  • Oversight to ensure the responsibilities are reviewed and reallocated if necessary if there is any change in senior management and that this process is documented and any revised reporting structure re-issued to all staff.
  • Keep up to date with relevant legislation and regulatory developments
  • Ensure the firm has the right controls in place and that these are being used.
  • Instilling a compliance culture within the firm
  • Provide leadership, for example by making the fair treatment of customers central to the behaviour and values of the firm.
  • Produce an annual money laundering report for senior management.
  • Ensure the firm can respond in a timely basis to requests for information from the FCA.
  • Ensure all newly approved persons receive FCA approval before commencing duties. • Ensure all staff are aware of the firm’s money laundering procedures.
  • Ensure findings from client file reviews are recorded as part of the firm’s management information and reacted to by senior management where necessary.
  • Identify, discuss and agree on development needs and validation of all CPD activities undertaken.
  • Review any delegated activities on an ongoing basis to ensure they have undertaken adequately and meet the firm’s needs.
  • Review any complaints against the firm and dealing with them in accordance with the FCA handling rules.

 

What’s in it for you? 

  • A tailored package, according to you your preferences skills and experience
  • Excellent salary, from £40k per annum up to £55k
  • Brilliant working environment
  • Great office atmosphere
  • Pension contribution
  • Great holiday package

 

Skills and experience required:

  • Strong knowledge and technical compliance background •
  • Ideally to have previously worked in a management position or display attributes of a manager
  • Maintenance of FIT
  • Strong understanding and up to date knowledge of procedures and policies
  • Level 4 Diploma

 

Recruiters contact info: 

Name: Katie Mihaylov

Email: Katie.Mihaylov@recruitukltd.co.uk

Tel: 01179 170417

Whatsapp/mobile: 07399 163966

Job Reference: 13042

 

About Recruit UK: 

As specialists in financial services recruitment, we bring unique expertise, insight and connections, whether you are looking for a new job or are trying to fill a role. We have a reach of more than 100,000 financial services connections. Right now, here at Recruit UK we currently representing a Compliance Managerial role in Lincoln to join an independent financial consultancy.

 

Our commitment to you 

  • Start every journey with a conversation to find out about you in depth.
  • Provide honest feedback on where you fit in the jobs market.
  • Use our network across the financial world to match you to your perfect position. Or if we think you already have it, we’ll tell you.
  • Take a holistic mindfulness approach – career happiness is rarely just about the money.
  • Cover the whole of the UK with a local touch through our regional teams.
  • Never pester you.

 

Job Title: Compliance Manager

Industry: Financial Services

Location: Lincoln

Salary: £40,000-£55,000

 

Job Description: 

Recruit UK are working on an excellent opportunity for a Compliance Manager in Lincoln to join an independent financial consultancy.

I’m proud to be working with an independent financial consultancy with a regional presence, they pride themselves in providing long-term ongoing assistance and take real care and value in servicing their clients. They have great relationships with other professionals of their clients – their aim is to assist their clients throughout the course of their entire lives.

They have a number of Chartered advisers and provide advice on investments, pensions, tax planning, estate planning as well as other insurances. This firm is a fully independent company that provide whole of market advice to clients, they are immensely proud of their long-standing relationships with clients and with 30 years working within the financial services industry, they always strive to do the best they can.

They are currently looking to bring on a Compliance Manager to join their existing team in their office near Grimsby. This role will play an integral part in ensuring advice and service is provided in the most compliant manner. The ideal candidate will have a strong understanding of SYSC, have a responsibility of Compliance and Money Laundering, whilst also overseeing all the departments in the firm for Risk, Supervision and Technical/Advice abilities.

 

Main Tasks/Responsibilities 

  • Comply at all times with the relevant Compliance and Training and Competence procedures of the firm, in maintaining fit and property (FIT).
  • Provide leadership, for example by making the fair treatment of customers central to the behaviour and values of the firm.
  • Ensure that the firm continues to meet its threshold conditions (COND).
  • Oversight to ensure the responsibilities are reviewed and reallocated if necessary if there is any change in senior management and that this process is documented and any revised reporting structure re-issued to all staff.
  • Keep up to date with relevant legislation and regulatory developments
  • Ensure the firm has the right controls in place and that these are being used.
  • Instilling a compliance culture within the firm
  • Provide leadership, for example by making the fair treatment of customers central to the behaviour and values of the firm.
  • Produce an annual money laundering report for senior management.
  • Ensure the firm can respond in a timely basis to requests for information from the FCA.
  • Ensure all newly approved persons receive FCA approval before commencing duties. • Ensure all staff are aware of the firm’s money laundering procedures.
  • Ensure findings from client file reviews are recorded as part of the firm’s management information and reacted to by senior management where necessary.
  • Identify, discuss and agree on development needs and validation of all CPD activities undertaken.
  • Review any delegated activities on an ongoing basis to ensure they have undertaken adequately and meet the firm’s needs.
  • Review any complaints against the firm and dealing with them in accordance with the FCA handling rules.

 

What’s in it for you? 

  • A tailored package, according to you your preferences skills and experience
  • Excellent salary, from £40k per annum up to £55k
  • Brilliant working environment
  • Great office atmosphere
  • Pension contribution
  • Great holiday package

 

Skills and experience required:

  • Strong knowledge and technical compliance background •
  • Ideally to have previously worked in a management position or display attributes of a manager
  • Maintenance of FIT
  • Strong understanding and up to date knowledge of procedures and policies
  • Level 4 Diploma

 

Recruiters contact info: 

Name: Katie Mihaylov

Email: Katie.Mihaylov@recruitukltd.co.uk

Tel: 01179 170417

Whatsapp/mobile: 07399 163966

Job Reference: 13042

 

About Recruit UK: 

As specialists in financial services recruitment, we bring unique expertise, insight and connections, whether you are looking for a new job or are trying to fill a role. We have a reach of more than 100,000 financial services connections. Right now, here at Recruit UK we currently representing a Compliance Managerial role in Lincoln to join an independent financial consultancy.

 

Our commitment to you 

  • Start every journey with a conversation to find out about you in depth.
  • Provide honest feedback on where you fit in the jobs market.
  • Use our network across the financial world to match you to your perfect position. Or if we think you already have it, we’ll tell you.
  • Take a holistic mindfulness approach – career happiness is rarely just about the money.
  • Cover the whole of the UK with a local touch through our regional teams.
  • Never pester you.

 

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