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About the job
We are representing an award winning IFA advisory business who is seeking to appoint an experienced Senior Level Compliance Manager at an exciting time of growth for the business.
This role is a 50/50 mix between compliance and T&C responsibility
The key duties of the compliance manager are:
- Develop the compliance and draft and amend existing compliance policies and procedures.
- Develop the existing T&C plan
- Arranging, carrying out and checking the training and competence for compliance with the relevant regulatory requirements in relation to registered individuals including conducting T&C one to ones and agreeing annual training plans.
- Liaising with compliance consultants when applicable
- File checks
- Work with new advisers to ensure competent
- Assist Operations Manager with recruitment of advisers
- Provide necessary training for staff
- Undertake supervisor role for all advisers
- Preparing compliance reports for board
- Maintenance of compliance registers and documents
- Assisting with the completion of regulatory returns
The client is offering a highly competitive basic salary and benefits package and is keen to see candidate who can demonstrate a good understanding of the IFA/Wealth Management market
Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.